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O Pedido no Sistema da Common Law e o Princípio da Adstrição
José Carlos de Araújo Almeida Filho 1
2004
1 Professor da Universidade Católica de Petrópolis – Presidente do Instituto
Brasileiro de Direito Eletrônico – Membro Efetivo do Instituto Brasileiro de Direito Processual
SUMÁRIO
RESUMO ................................ ................................ ................................ ................................ .................. iii ABSTRACT................................ ................................ ................................ ................................ .............. iv 1 INTRODUÇÃO ................................ ................................ ................................ ................................ ......1 2 BREVE DISTINÇÃO ENTRE CIVIL LAW E COMMON LAW ................................ ........................ 3 COMMON LAW ................................ ................................ ................................ ................................ .......5 CIVIL LAW ................................ ................................ ................................ ................................ ...............5 3 NATUREZA DO PEDIDO NO DIREITO AMERICANO ................................ ................................ 8 Tribunais Federais - Cortes Distritais ................................ ................................ ................................ .8 3.1.1 FORMAS DO PEDIDO NO SISTEMA AMERICANO ................................ ............................ 10 3.1.1.1 Modern Pleading ................................ ................................ ................................ ......................... 11 3.1.2 O PEDIDO E A CAUSA DE PEDIR ................................ ................................ ........................... 12 3.1.2.1 REQUISITOS BÁSICOS DA NOTICE PLEADING ................................ ............................... 16 4 A RESPOSTA DO RÉU ................................ ................................ ................................ ...................... 18 4.1.1 MUDANÇA DO PEDIDO ................................ ................................ ................................ ............19 4.1.1.1 Métodos de Mudança do Pedido ................................ ................................ ................................ 19 4.1.1.2 Aditamento da Inicial ................................ ................................ ................................ ..................19 5 O PEDIDO NO DIREITO INGLÊS ................................ ................................ ................................ ...21 5.1.1 PERSONAL INJURY ................................ ................................ ................................ ....................22 5.1.2 RESPOSTA DO RÉU ................................ ................................ ................................ ....................26 6 DECISÃO E PRINCÍPIO DA ADSTRIÇÃO ................................ ................................ ....................28 7 ANÁLISE DE DECISÕES ................................ ................................ ................................ ..................30 7.1 DISTRITO DE COLUMBIA ................................ ................................ ................................ ...........30 7.1.1.1 Argued November 15, 1999 Decided December 21, 1999 - No. 98-1558 - Chiron
Corporation and Pe rSeptive Biosystems, Inc., Petitioners v. National Transportation Safety
Board, et al. ................................ ................................ ................................ ................................ ..............30 7.2 IN THE SUPREME COURT - STATE OF NORTH DAKOTA ................................ ..................31 7.2.1.1 J. Malcolm Thompson, Plaintiff and Appellant v. Larry R. Peterson, David B.
Danbom, Yur -Bok Lee, Gerald Anderson, Thomas Isern, Harriette McCaul, Rick D. Johnson,
all of whom are and/or were persons employed within the teaching faculty and/or
administration at North Dakota State University, being named herein as having acted in both
their individual and official capacities, and North Dakota State University, a publicly
supported institution of higher learning under the control of the North Dakota State Board of
Higher Education, Defendants and Appellees Civil No. 950276 ................................ ......................... 31 7.3 UNITED STATES COURT OF APPEALS - FOR THE THIRD CIRCUIT ................................ 32 7.3.1.1 THOMAS H. TAYLOR, Appellant v. THE PEOPLES NATURAL GAS
COMPANY, a subsidiary of Consolidated Natural Gas Com pany; SYSTEM PENSION
PLAN OF CONSOLIDATED NATURAL GAS COMPANY, Number 001; THE
ANNUITIES AND BENEFITS COMMITTEE, the plan administrator, Appellees .......................... 32 8 DECISÕES ESTUDADAS ................................ ................................ ................................ ..................33 8.1 DISTRITO DE COLUMBIA ................................ ................................ ................................ ...........33 8.2 IN THE SUPREME COURT - STATE OF NORTH DAKOTA ................................ ..................47 8.3 UNITED STATES COURT OF APPEALS - FOR THE THIRD CIRCUIT ................................ 57 9 CONCLUSÕES ................................ ................................ ................................ ................................ ....76 REFERÊNCIAS BIBLIOGRÁFICAS ................................ ................................ ................................ ...77 FONTES DE PESQUISA ................................ ................................ ................................ ....................... 78
iii
RESUMO
ALMEIDA FILHO, José Carlos de Araújo. O Pedido no Sistema da Common Law e o Princípio da Adstrição. RIO DE JANEIRO: UGF, 2003. p. (O Pedido no Sistema da Common Law e o Princípio da Adstrição) ∗
O autor analisa o pedido no Direito Norte -Americano e no Direito Inglês, que, apesar de suas tradições próprias da commom-law, passam a adotar métodos característicos dos países filiados à civil-law. A partir dos modelos apresentados em ambos sistemas, inclusive com a possibilidade de formulação simplificada do pedido. Diante destas características próprias dos sistemas, onde há possibilidade de mais de uma forma de pedido, o autor se limitou, no sistema am ericano, a analisar a modern pleading, enquanto no sistema inglês o personal injury . Assim sendo, com características distintas do processo civil brasileiro, é importante destacar se há vinculação do juiz ao pedido, no momento do julgamento.
Palavras-chave: processo civil; pedido; julgamento.
∗ Orientador: Prof. Dr. Leonardo Greco – UGF/RJ.
iv
ABSTRACT
ALMEIDA FILHO, José Carlos de Araújo. O Pedido no Sistema da Common Law e o Princípio da Adstrição. RIO DE JANEIRO: UGF, 2003. p. (O Pedido no Sistema da Common Law e o Princípio da Adstrição) ∗
The author analyses the request in the North -American and in the English Laws and inspite their own traditions of Common Law they adopted specific methods of countries affiliated to the Common Law. Based on models presented in both systems, including the possibility o f a simplified request. Based on their peculiar characteristics of the systems, when there is the possibility of more than one request model, the author limited himself to analyse the modern pleading of the North American system and the personal injury of the English system. With different characteristics of the Brazilian Civil Procedure, it is important to point out whether there is any connection of the Judge with the request at the moment of the trial.
Key words : civil procedure; pleading; judge trial .
∗ Orientador: Prof. Dr. Leonardo Greco – UGF/RJ.
1
1 INTRODUÇÃO
O presente trabalho é fruto de extensa pesquisa realizada pelo Prof. Dr.
Leonardo Greco, juntamente com os alunos do Mestrado e Doutorado em Direito, Estado e
Cidadania, na Universidade Gama Filho, do Rio de Janeiro.
Sendo objeto da matéria o Processo Civil e Acesso à Justiça , importante
destacar o estudo do direito comparado, sob pena de pouco - ou quase nada - conseguirmos
entender sobre os grandes sistemas processuais.
Se, por um lado, o Brasil, paulatinamente, absorve algumas regr as da
common law, como é o caso da adoção abrasileirada das class action´s , das small claim´s
courts e de alguns writ´s, é certo, também, que o sistema anglo -saxônico vem sentindo a
necessidade de inserir normas escritas em seus ordenamentos.
Analisando o sistema processual anglo -saxônico podemos observar que seria
prudente nosso legislador estar atento aos movimentos de acesso à justiça, desmistificando
a figura do pedido, como algo imutável e, raramente, pacificando os conflitos – que é o
objetivo maior do processo.
Um pedido estático, impossível de ser modificado, raramente alcança uma
sentença que atinja o direito material da parte e satisfaça -lhe a pretensão deduzida em juízo.
Através das normas – hoje codificadas – dos sistemas americano e in glês,
podemos chegar a pensar em um pedido mais flexível, a fim de possibilitar uma sentença
que atenda aos anseios dos litigantes.
2
Assim é que o presente trabalho tem por objetivo analisar a diferença entre a
common law e a civil law, a forma do pedido nos países de origem anglo -saxônica e, por
fim, como os juízes decidem, com base no princípio da adstrição.
No Brasil a bibliografia é escassa e pouco se discute acerca dos
procedimentos próprios da common law. Por esta razão, as fontes bibliográficas, em sua
grande maioria, foram obtidas através da Internet, em sites confiáveis, como os dos
governos norte -americano e do Reino Unido, do American Law Institute e da American Bar
Association , além de centros universitários que disponibilizam textos de seus docentes.
Finalmente, em pesquisa realizada pela Internet, em sites de diversas Cortes,
faremos uma análise dos casos julgados e como funcionam as pleadings.
3
2 BREVE DISTINÇÃO ENT RE CIVIL LAW E COMMON LAW
A pesquisa desenvolvida no campo do direito comparado não se apresenta
tão simples como alguns positivistas pensam, ou seja, que basta a análise dos textos legais
para se chegar a uma conclusão. É importante a análise de textos doutrinários e busca,
sempre que possível, da jurisprudência local.
Tendo em vista a natureza do trabalho ora apresentado, é importante que se
faça uma distinção entre o processo na common law e o processo na civil law, ainda que a
temática a ser desenvolvida seja baseada, apenas, no pedido e na sentença da common law.
A distinção aqui elaborada, em verdade, é de pequena monta, já que este não é o cerne do
problema apresentado.
Importante, contudo, definir os ordenamentos jurídicos sob análise. Segundo
Steven H. Gifis 2, “Roman law3 embodied in the Justinian Code (Codex Ju stinianus) and
presently prevailing in most Western European States. It is also the foundation of tja law of
Loisiania. Civil law is based on statutes as opposed to court decisions.”
Para a common law, GIFIS define como “ the system of jurisprudence, wi ch
originated in England and was later applied in the United States, which is based on
judicial precedent rather than statutory laws, which are legislative enactments: it is to be
contrasted with civil law .”
Ainda que o processo da common law seja baseado nos precedentes,
possuindo grande força as decisões judiciais, a Inglaterra passou a adotar um Código de
Processo Civil, enquanto os Estados Unidos passaram a adotar as Federal Rules of Civil 2 GIFIS, Setevn H. Law Dictionary . Barron´s, 1996: USA 3 N.A. Sistema romano -germânico, ou civil law.
4
Procedure, que não pode ser visualizado como um Código de P rocesso Civil, propriamente
dito.
Uma tendência comum, ainda, é admitir que o processo da common law seja
todo baseado no julgamento por um Júri, através do sistema do adversary system4, o que
não era uma verdade absoluta e, agora, com as normas de Proces so, tanto na Inglaterra,
quanto nos Estados Unidos, menos verdade ainda.
Apesar da Inglaterra ter adotado um código de Processo Civil – Rules of
Civil Procedure -, o Prof. Dr. José Carlos Barbosa Moreira 5 afirma ser “quase irresistível a
inclinação para pensar que a Inglaterra, com a adoção de um código uno e abrangente,
haja repudiado a tradição do common law e aderido à linhagem européia continental –
que se prolongou, ocioso acrescentar, nos países latino -americanos.”
A grande diferença, pois, a f im de servir de norte ao problema do pedido e a
forma como a sentença será prolatada – se sujeita ou não ao princípio da adstrição – é que
na common law há, evidentemente, um forte desapego às normas escritas ou aos códigos
napoleônicos6, próprios da Europ a Continental e com grande influência e aplicação nos
países latino-americanos. Conclusão lógica, tendo em vista as discrepâncias dos
ordenamentos jurídicos, na civil law o apego à norma escrita é marcante.
Para a Professora Harriet Christiane Zistscher 7, “o direito inglês é o
ordenamento-mãe de toda a família common law , e o ordenamento jurídico alemão é um
dos representantes da família romano -germânica, mais precisamente, o representante
principal da subfamília romano -germânica.”
4 N.A. ou adversaril system 5 MOREIRA, José Carlos. Temas de Direito Processual, Sétima Série . Ed. Saraiva, 2001 :SP 6 N.A. O Estado da Louisiana, pela influência napoleônica, adota o sistema da civil law. 7 ZITSCHER, Harriet Christiane. Introdução ao Direito Civil Alemão e Inglês . Del Rey, 1999:MG
5
O ordenamento juríd ico da common law é baseado, notadamente quando se
está diante do processo civil, nos denominados precedentes . Contudo, a partir de 1999, com
a implantação das Rules of Civil Procedure , assemelha-se o procedimento consuetudinário
àquele por nós conhecido, ou seja, o da codificação sistemática, baseada na era
napoleônica. E, neste ponto, reside a grande problemática quando se está diante do pedido
no sistema da common law .
A sentença está adstrita ao pedido, ou servirão os precedentes das Cortes,
pelo casuísmo, determinar o direito material a ser aplicado? Há total liberdade do
magistrado?
A resposta nos parece ser respondida, em parte, pelo processualista Italiano
Prof. Michele Taruffo 8, ao afirmar que entre os sistemas, apesar das influências recíproc as,
estas “não visam a sustentar que haja desaparecido toda e qualquer diferença entre os
sistemas processuais de common law e os de civil law: conclusão desse gênero seria
evidentemente absurda, ante as numerosas e relevantes discrepâncias que ainda
subsistem.”
Sustentando uma base dos princípios norteadores dos procedimentos – e que
serão melhores analisados quanto ao pedido, logo em seguida -, as principais distinções
entre os ordenamentos jurídicos são:
COMMON LAW CIVIL LAW
Processo adversarial 9 Processo inquisitório
8 in Revista de Processo, nº 110, ano 28, abril/junho de 2003, Ed. Re vista dos Tribunais, SP,
p.141/158 9 Conforme leciona o Prof. Michel Taruffo, ob. cit., a distinção criou uma vasta literatura. E,
continua: “vou permitir -me contudo uma observação desrespeitosa: muitas dessas páginas
6
Menos poder instrutório do juiz Mais poder instrutório
Mais pragmático e menos formal Grande formalidade 10
Existência do Júri em matéria cível Inexistência do Júri em matéria cível
Duas fases – pré-trial e trial Concentração das prov as em audiência
Ainda que estejamos diante de dois modelos processuais distintos, algumas
diferenças vêm desaparecendo. A adoção, como afirmado linhas acima, de regras de
processo civil no direito inglês e, ainda, a adoção, no Brasil, de procedimentos
constituem uma propaganda ideológica a favor de um ou do outro sistema, e nenhuma atenção merecem do ponto de vista científico.”
10 N.A. – ainda que a doutrina moderna venha defendendo o princípio da instrumentalidade das formas, com o fim de se aproveitar ao máximo os atos processuais, desform alizando-o Contudo, esta desformalização encontra grande oposição em alguns processualistas, dentre eles no Prof. José Carlos Barbosa Moreira, cf. A Justiça no Limiar do Novo Século , recebida por meio eletrônico, que afirma: “e, por maior relevância que po ssam assumir outros meios de solução de conflitos (1) , seria perigoso apostar muito na perspectiva de um desvio de fluxo suficiente para aliviar de modo considerável a pressão sobre os congestionados canais judiciários. Somem -se a isso fatores como a cres cente complexidade da vida econômica e social, o incremento dos contactos e das relações internacionais, a multiplicação de litígios com feição nova e desafiadora, a fazer aguda a exigência de especialização e de emprego de instrumentos diversos dos que no s são familiares, e ficará evidente que não há como fugir à necessidade de mudanças sem correr o risco de empurrar para níveis explosivos a crise atual, em certos ângulos já tão assustadora. (1) Vem merecendo grande atenção, nos últimos anos, o tema dos me ios "alternativos" de composição de litígios (que não se confunde com o do chamado "direito alternativo"). Dele se cuidou, por exemplo, no Congresso da Associação Internacional de Direito Processual de 1987, em Utrecht (vide o relatório brasileiro, de ADA PELLEGRINI GRINOVER, denominado "Deformalização do processo e deformalização das controvérsias", in Novas Tendências do Direito Processua l, Rio de Janeiro, 1990, pp. 1275 e segs., e o relatório geral de BLANKENBURG e TANIGUCHI, intitulado "Informal Alterna tives to and within For-mal Procedures", no vol. Justice and Efficienc y, editado por WEDEKIND, Deventer - Antuérpia - Boston, 1989, pp. 335 e segs.), e o simpósio realizado em Tóquio, em agosto deste ano, cujo temário, subordinado ao título geral Civil Justice in the Era of Globalization, compreendia um tópico dedicado ao assunto e designado como Dispute Resolutions and Legal Cultur e.”
7
característicos da common law, como o exemplo dos Juizados Especiais ( small claim´s
courts), das Ações Coletivas ( class actions) e a adoção presentes dos meios alternativos de
solução de conflitos (ADR´s) aproximam os sistemas em questão.
Diante desta aproximação entre a common law e a civil law, o American Law
Institute vem trabalhando no modelo de Princípios e Regras do Processo Civil
Transnacional (Principles and Rules of Transnational Civil Procedure).
Ao prefaciarem o resultado da quarta rodada d e discussões acerca do
modelo acima proposto, em 18 de abril de 2003, os professores Geoffrey C. Hazard, Hr.,
Michele Taruffo, Rolf Stürner e Antonio Gidi, assentam a dificuldade da aplicação de um
código transnacional, pelo ceticismo e, ainda, pelas pecul iaridades do processo civil
americano.
Desta forma já se pode admitir, pelas próprias conclusões dos professores
envolvidos em tamanha pesquisa, que o direito norte -americano se apresenta diferente dos
demais sistemas da common law . E, concluem:
“The wordwide reception given to the project geerally hás been very positive, but there has been strong dissent. Past of the dissent evidently reflects some irritation at “American cultural imperialism.”
Conclui-se, de antemão, que os procedimentos quanto aos pedidos nos
Estados Unidos e na Inglaterra, ainda que sejam ambos do ordenamento anglo -saxônico,
possuem diferenças sensíveis.
As mesmas serão analisadas de per si.
8
3 NATUREZA DO PEDIDO N O DIREITO AMERICANO
Ainda que o direito americano seja filiado à família anglo -saxônica, no
modelo da common law, é importante destacar, de início, que o Estado da Louisiana adota o
sistema da civil law11. E a afirmação contida na Enciclopédia Wikipedia é a seguinte:
“There are still remmants of its former status as a possession of France, including: the use of a civil law legal system, the Napoleonic Code (like France, and unlike the rest of the United States, whice uses a common law legal system derived from England), the term “prishes” being used to describe the st ate´s sub-divisions as opposed to “countries”, French as an official language (the only state that has French as an official language). Law and Government Louisiana is the only state whose legal system is based on Roman civil law as opposed to British comm on law. Technically, it is know as “Code Napoleon” or The Napoleonic Code. It is simply the aforementioned Roman civil law in written form, in order to be applied uniformly, and understood by everyone.”
A ressalva se faz oportuna, uma vez que o sistema judicial americano é por
demais complexo, sendo resumido, neste ponto, da seguinte forma:
Tribunais Federais - Cortes Distritais
- Tribunais de Apelação
- Suprema Corte
Tribunais Estaduais - Juízes de Primeira Instância
- Tribunais de Apelação
Fatores complicadores - Múltiplas soberanias
11 Cf. Wikipedia – The Free Enciclopedia . Disponível em
<http://en2.wikipedia.org/wiki/Louisiania>. Acesso em 22 dezembro 2003.
9
- Coexistência de Tribunais Federais e Estaduais de
Primeira Instância
Os sistemas jurisdicionais não serão apreciados no presente trabalho, mas
servem de referência ao estudo, uma vez que há uma ressalva em todo o sistem a americano,
que é, exatamente, o da Louisiana.
Ao tratarem, por exemplo, do jury trial, Jack H. Friedenthal et al12, fazem
uma remissão aos estados do Colorado, Louisiana e Wyoming:
“Colorado, Louisiana and Wyoming have no constitutional guarantee to jury trial in civil cases.”
Trata-se, evidentemente, de uma regra geral aplicada a todo o sistema
americano.
O sistema norte -americano se apresenta muito diferente do nosso, seja em
termos do pedido, seja no que diz respeito à própria jurisdição, já que os modelos podem se
apresentar de maneira diversa – federal, estaduais e municipais.
Em nosso sistema, será o pedido o delineador da sentença, já que subsiste o
princípio da inércia judicante. Segundo o Prof. Dr. Leonardo Greco 13, “o pedido é o objeto
da jurisdição .”
A análise do pedido – e suas diversas formas – e do princípio da adstrição,
em um sistema complexo como o americano, são por demais importante, uma vez que
12 FRIEDENTHAL, Jack H. KANE, Mary Kay and MILLER, Arthur R. Civil Procedure . West
Group, St. Paul: 1999 13 GRECO, Leonardo. A Teoria da Ação no Processo Civil . Dialética, SP:2003
10
haverá necessidade de verificação do alcance da coisa julgada. Não nos parece diverso o
conceito de coisa julgada no sistema americano, conforme leciona Friedenthal et al14:
“In order for a judgment to be given former adjudication effect, the court must find that it meets three requirements: The judgment must be valid, final, and on the merits.”
A fim de analisar a validade dosisteme9c 0.é importantde verificro opedi doe suas( ) Tj ET BT /F9 11.52 Tf 1 0 0 1 80.16 528.24 Tm -0.48 Tc 0 Tw foras.
ntdsm de verguarmnosas( forase dopedi do no sistema americano,é importantde ) Tj ET BT /F9 11.52 Tf 1 0 0 1 80.16 298.4 Tm 0. 0 Tc3.754 Tw analisamnoso texito o Prof. Ch
5 : qudenemialtantdetraga à Corteoppaa uema dcisãd. Aléim iest,oresalguns, asos( ) Tj ET BT /F9 10.56 Tf 1 0 0 1 442.322127064 Tm -0. 0 Tc .10 Tw um. nvo arecedene finficráequdenosfaitsea arsdena os(aãoadvoga doppaa arvisãdonãne ) Tj ET BT /F9 10.56 Tf 1 0 0 1 442.32211488 Tm -0.90 Tc37.84 Tw serveim de Cortes supmeroarsa
11
litígios sobre situações f áticas repetitivas que não constituem uma base para o remédio judicial.”
Emoldura-se, assim, que o juiz está adstrito ao pedido, ainda que os julgamentos
possam se dar com os precedentes das Cortes – o que seria, para nós, o efeito da súmula
vinculante.
Veremos, pois, as formas de pedido no sistema americano 16, destacando-se que não
serão analisadas, neste trabalho, as Class Actions, Derivative Suites e o Interpleader , assim
como qualquer forma de intervenção de terceiro. Tendo em vista a complexidade d o tema, a
análise será restrita à Modern Pleading .
3.1.1.1 Modern Pleading
Analisando a história do common law pleading , Mary Kay Kane 17 leciona que se
trata de forma antecedente ao moderno código federal. E afirma que:
“Pleading in common law courts was charact erized by rigid formality and precision; its object was to procedure through the pleadings a single issue for trial.”
É importante destacar que no Estado da Louisiana, apesar de não haver aplicação da
common law, segundo se depreende do texto legal - RULES OF PRACTICES AND
16 Rule 18. Joinder of Claims and Remedies (a) Joinder of Claims. A party asserting a claim to relief as an original claim, counterclaim, cross -claim, or third -party claim, may join, either as independent or as alternate claims , as many claims, legal, equitable, or maritime, as the party has against an opposing party. (b) Joinder of Remedies; Fraudulent Conveyances. Whenever a claim is one heretofore cognizable only after another claim has been prosecuted to a conclusion, the two claims may be joined in a single action; but the court shall grant relief in that action only in accordance with the relative substantive rights of the parties. In particular, a plaintiff may state a claim for money and a claim to have set aside a convey ance fraudulent as to that plaintiff, without first having obtained a judgment establishing the claim for money. 17 KANE, Mary Kay. Civil Procedure .4th.ed., West Group, 1996, St. Paul: USA
12
PROCEDURES OF THE LOUISIANA PUBLIC SERVICE COMMISSION –, regras 12 a
17, o sistema relativo às pleadings é o mesmo que das Federal Rules .
Seja no sistema próprio da common law , ou no sistema da civil law – aqui analisado
no caso específico do Estado da Louisiana -, as regras não se modificam e são complexas,
conforme ressaltado por Mary Kay Kane. Trata -se, evidentemente, de formalismo
excessivo. Contudo, se comparado ao nosso pedido, verificar -se-á que o sistema da
common law vai abranger o direito material de forma mais completa, dada a natureza deste
sistema pouco conhecido por nós.
É importante destacar que na Inglaterra medieval os pedidos eram realizados de
forma oral e perdurou por mais de 675 anos. Atualmente o pedido, nos mold es dos writs
assume no séc. XIX a forma de code pleading .
A análise circunstancial da modern pleading será objeto de estudo no próximo item.
3.1.2 O PEDIDO E A CAUSA DE PEDIR
A causa de pedir, no sistema americano, assim como no nosso sistema, é de grande
importância. Ainda que o pedido não seja completamente correto, ou haja inconsistência ou
mesmo seja indefinido ou alternativo, o que determinará sua apreciação ou denegação, é a
causa de pedir , ou cause of action .
Inicialmente é importante definir pleading18 como sendo os fatos que constituem o
pedido, baseado na causa de pedir. Segundo Steven H. Gifis 19, “at common law, pleadings
18 Rule 7. Pleadings Allowed; Form of Motions (a) Pleadings. There shall be a complaint and an answer; a reply to a counterclaim denominated as such; an answer to a cross-claim, if the answer contains a cross -claim; a third -party complaint, if a person who was not an original
13
were a rigorous process of sucessive statements 20 the aim of which was to progressively
narrow the issue.”
No sistema americano atual existem três tipos de pleadings, quais sejam:
- fact pleading
- notice pleading
- code pleading
Quanto à fact pleading , a mesma existe desde a reforma de 1848 no sistema
americano, por certo que a notice pleading foi introduzida com as normas federais d e
processo – Federal Rules of Civil Procedure . O método mais adotado, atualmente, é o da
notice pleading .
Segundo o Prof. Aaron D. Lindstron 21, na notice pleading basta uma pequena
descrição do caso a ser levado à Corte. Ressalta, contudo, que há necessida de de conexão
party is summoned under the provisions of Rule 14; and a third -party answer, if a third -party complaint is served. No other pleading shall be allowed, except that the court may order a reply to an answer or a third -party answer. (b) Motions and Other Papers (1) An application to the court for an order shall be by motion which, unless made during a hearing or trial, shall be made in writing, shall state with particularity the grounds therefor, and shall set forth the relief or order sought. The requirement of writing is fulfilled if the motion is stated in a written notice of the hearing of the motion. (2) The rules applicable to captions and other matters of form of pleadings apply to all motions and other papers provided for by these rules. (3) All motions shall be signed in accordance with Rule 11 . (c) Demurrers, Pleas, etc., Abolished. Demurrers, pleas, and exceptions for insufficiency of a pleading shall not be used. 19 Ob.cit. 20 N.A. A declaração do fato 21 LINDSTRON, Aaron D. Civil Procedure according to Baird . Obtido por meio eletrônico, em
<http://www.blsa.chicago.edu/first%20year/baird -civilpro/-toc532095798>, acessado em 15/12/2003
14
entre os fatos e a lei, citando dois casos: People ex rel. DOT v. Superior Court e Haddle v.
Garrison .
Contudo, é necessária a causa de pedir, de forma complexa, encontrada nos textos
americanos como cause of action 22. Trata-se, evidentemente , da causa de pedir e refletirá
quando da ocorrência da coisa julgada.
Desta forma, a cause of action deve ter relação com a pretensão alegada e,
antecipando o estudo em questão, já se pode adiantar que a complexidade das pleadings no
sistema da common la w induzirá no princípio da adstrição, ainda que estejamos diante de
um sistema onde o precedente ainda tem grande influência e haja certa discricionariedade
dos juízes.
Trata-se, pois, de pedido escrito – sem que se possa concluir que o princípio da
oralidade tenha sido relevado – e no code pleading é que se verifica, em verdade, a causa
de pedir, ou causes of action .
O grande problema envolvendo o pedido nos Estados Unidos é o relativo à
diversidade de jurisdições, mas o estudo deve ser restrito à Federal Pleading , deixando
para a análise de casos a forma como os julgamentos se dão, notadamente com a finalidade
de verificar a aplicação do princípio da adstrição. O certo, contudo, é que a maioria dos
Estados não encontra resistência em aplicar as normas fe derais.
Segundo Mary Kay Kane (1996), a maioria das cortes estaduais adotou as regras
federais. No sistema federal prevalece a notice pleading com a possibilidade do requerente
– plaintiff – requerer alternativamente ou, mesmo, inconsistentemente.
22 “A claim in law and fact sufficient to demand judicial attention.” . Cf. Gifis, Ob.cit.
15
Analisando o sistema americano se pode constatar haver uma flexibilidade quanto
ao pedido na fase do pre-trial, o que significa dizer que a preocupação é a de fixação do
objeto litigioso, sem a preocupação de, inicialmente, estancar o direito material por
qualquer vício na formulação do pedido.
Assim, a tendência das cortes, conforme Friedenthal et al23.:
“Althought some courts have treated a conclusion of law as a nonexistent allegation, many modern courts have taken the position that such as allegation can be considered in determining weether the complaint gives notice of the existence of a cause os action. If it does, a challenge to the sufficiency the complaint will be denied.”
Em verdade, para que o pedido seja considerado, é importante que a causa de pedi r
esteja definida. O que se ataca no pleading é a forma, conforme se pode constatar no
julgamento Campbell v. Genshlea 24. Contudo, conforme analisado no caso Ramsey v.
Myers mas não se o defeito for considerado como forma, apenas 25.
23 Ob. cit. 24 As a practical matter, in determining whether to demur or answer, counsel should analyze what advantage a demurrer will have to the client's case. Because of California's liberal pleading and amendment policy, it generally makes little sense to demur where the defects in the plaintiff's complaint are correctable. The jud ge hearing the demurrer will almost always grant leave to amend in such a case, and where the plaintiff can eventually overcome the defects, the ultimate result of the demurrer is unnecessary cost and delay for all concerned. Demurrers also tend to educate the opponents as to weaknesses or problems with their case. There are also several alternatives to demurring which may achieve the same objective: (1) answer and assert appropriate affirmative defenses; (2) clarify or narrow the complaint through discover y; (3) a motion to strike; (4) a motion for judgment on the pleadings; (5) a motion to dismiss; and (6) a motion for summary judgment or summary adjudication of issues. Where a complaint or cross -complaint alleges multiple causes of action, a party may dem ur to the entire pleading or to separate causes of action set forth in the pleading. [CCP §430.50(a)] Thus, a demurrer to a cause of action may be filed without answering the other causes of action, and the defendant will be allowed time to respond to the complaint or other causes of action once the court has made a decision on the demurrer. [CRC 325(g); for discussion of the procedure and time limits in such cases, see §9:5] A party may not, however, demur generally to only part of a cause of action. [ Campbell v Genshlea (1919) 180 Cal 213, 180 P 336; Financial Corp. of America v Wilburn (1987, 6th Dist) 189 Cal App 3d 764, 234 Cal Rptr 653] Also, the prayer for damages is not a part of a complaint that is subject to demurrer. [ Moropoulos v C. H. & O. B. Fuller Co. (1921) 186 Cal 679, 200 P 601; Witkin, 5 Cal. Proc. 3d, Pleading, §907]. Obtido por meio eletrônico, em <http://www.vcsun.org/~djordan/demur.htm>, Prof. David Jordan, Law Departament of Los Angeles Mission College.Acesso: 01/01/2004 25 O presente c aso consta do anexo.
16
3.1.2.1 REQUISITOS BÁSICOS DA NOTICE PLEADING
Requisito básico da notice pleading é a exposição dos fatos e da causa de pedir.
Relativamente ao termo em si – notice pleading – há diversos autores que não o
consideram, descrevendo a regra nº 08 como modern pleading ou simplified pleading.
Em verdade, diante do requisito maior da modern pleading , ao se estruturarem os
fatos e a causa de pedir, chega -se à conclusão que há uma certa liberalidade quanto ao
pedido em si. Tratando -se de notícia da contenda, conforme já analisado, o pedido p ode ser
incerto e indeterminado.
Aprofundado-se no estudo do sistema americano, o que se verifica é a necessidade
de expor com clareza os fatos e, desta forma, conseguir atingir o direito material. A
inconsistência ou alternatividade do pedido pode ser s uprida após a resposta do réu.
Importante destacar a assertiva de Friedenthal et al26., de que “all pleadings shall be so
construed as to do substantial justice .”
Em suma, no sistema federal da notice pleading , a parte autora notifica o réu
demonstrando o fato, sua pretensão e a causa de pedir. Esta notificação é feita diretamente à
parte e existem sistemas, como o disposto no site MegaLaw27, em que este serviço é
prestado pelo mesmo.
Tendo em vista, pois, a celeridade que se impõe, e é importante destaca r que o juiz
sempre aconselha as partes a chegarem a uma composição amigável, as cortes americanas
dispõem de formulários próprios a fim de que o pedido seja feito. Tais formulários podem
ser encontrados, com facilidade, na Internet.
26 Ob. cit. 27 http://www.megalaw.com
17
Uma vez haver honest idade28 na inconsistência do pedido ou em sua alternatividade,
as cortes federais admitem o mesmo, sendo, contudo, uma questão conflituosa no sistema
americano, já que o direito ao contraditório é garantido e, como tal, o réu deve saber
exatamente o que pre tende o autor.
Assim sendo, desde que haja causa de pedir, o pedido inconsistente não pode
determinar sua total impropriedade, por certo que a corte determinará, sendo necessário, o
aditamento do mesmo.
Tendo em vista a necessidade do contraditório, em Article III Judges Division,
Administrative Office of the United States Courts 29, depreende-se que:
“Durante la fase preparatoria del juicio oral y publico, los litigantes pueden llevar a cabo la exhibición cuando los litigantes tienen que dar a conocer a la parte contraria los puntos litigiosos y las armas procesales, como por ejemplo la identidad de los testigos y el testemonio que se espera que presenten y copias de los documentos relavionados con la causa.”.
Após a análise da resposta do réu, com maio r propriedade se poderá entender o
sistema da modern pleading , inclusive no que se refere a possibilidade de modificação do
pedido. Posteriormente, será feita uma análise acerca do princípio da adstrição.
28 Friedenthal et al. , p. 274 29 http://www.uscourts.gov
18
4 A RESPOSTA DO RÉU
No sistema americano há algumas possibilidades de defesa do réu, estando as
mesmas inseridas nas regras.
Conforme se infere do texto já analisado, produzido pelo Federal Judiciary
Building, no que se refere ao sistema judicial nos Estados Unidos, há sempre uma tendência
a aconselhar às partes que cheguem a uma composição extrajudicial. O mesmo se verifica
no sistema do Direito Inglês. Esta postura visa evitar delongas e custas nos procedimentos.
Quando não é o próprio juiz quem consegue mediar as partes, geralmente as
mesmas são indicadas a um árbitro ou mediador.
Contudo, acaso as partes não queiram submeter -se às ADR´s, será necessária a
resposta do réu.
Nos termos das Federal Rules of Civil Procedure , regra 08, item b, poderá o réu se
utilizar das seguintes defesas:
- claim asserted ou shall admit
- deny the averments
Mary Kay Kane 30 leciona que há diferenças nas formas de defesa, podendo as
mesmas serem do tipo denial, que pode consistir em aceitar o pedido, inserir uma
affirmative deffense 31 ou afirmar que o pedido não se encontra corretamente formulado.
Na affirmative deffense o réu admite o pedido, contudo, apresenta impedimentos ao
seu conhecimento, como, por exemplo, coisa julgada. 30 Ob. cit. 31 Regra nº 08, d
19
Importante, contudo, para a análise da pesquisa ora realizada, é a postura do réu
quando ele ataca o mérito do pedido, na fase do pre-trial. Neste caso, poderá haver
mudança do pedido – e este ponto é importante para a análise do princípio da adstrição.
4.1.1 MUDANÇA DO PEDIDO
4.1.1.1 Métodos de Mudança do Pedido
Há possibilidade de modificação do pedido quand o o réu, ao se defender, procura
desistir do julgamento ( trial ) ou afirma que o pedido não se condiz com o mérito.
Em geral, a modificação do pedido visa estabilizar a demanda, já que o narrado na
inicial pode ser diverso do que o réu apresentou em sua defesa. Importante, contudo,
destacar, que esta possibilidade somente ocorre no pre-trial.
Por toda uma análise feita no que diz respeito ao pedido no sistema norte -americano
– e é importante destacar que não conseguimos identificar esta possibilidade no sistema
inglês -, a modificação do pedido não se configura em alteração da cause of action . Induz,
contudo, à uma segurança jurídica e à verdadeira prestação da tutela jurisdicional, já que há
grande preocupação quanto ao direito material da parte.
4.1.1.2 Aditamento da Inicial
É possível o aditamento à inicial, nos casos já analisados, como inconsistência do
pedido etc. Contudo, nos termos da regra 15, b, dependendo do pedido, o aditamento
dependerá da concordância da parte ré.
20
É importante asseverar que o tema relativo ao pedido não se esgota com este
trabalho, que possuí limitações diante do que se pretende.
21
5 O PEDIDO NO DIREITO INGLÊS
O Código de Processo Civil Inglês – Civil Procedure Rules – conforme alguns
autores afirmam, dentre eles Patrick P. Sherrington e Lovell White Durrant 32, inseriu
diversas e substanciais modificações no sistema processual inglês, chegando o mesmos a
afirmarem que “ the new procedural rules will result in radical changes in the way in which
cases are handled and will be a c hallenge for judges and lawyers alike in the early days of
their implementation ”.
Inversamente do que ocorre no Brasil, pelos próprios procedimentos inseridos no
Código de Processo Civil inglês, as Cortes aconselham as partes a se valerem das ADR´s –
Alternative Dispute Resolution – e há casos em que os feitos são encaminhados às mesmas
dada sua especificidade.
E assim relata William Aylmer 33, Associado do Departamento de Mediação:
“Em conseqüência do advento do Código de Processo civil que governa a Ing laterra e o País de Gales, houve um aumento dramático no número de mediações. Isto pode ser atribuído à exigência legal de tentar as ADR´s como meio de resolver a demanda. Pode-se discutir que até que agora, como não há uma exigência legal, na Irlanda não haverá nenhum aumento significativo em termos de mediação 34.”
É interessante assentar que o CPC inglês apresenta distinção entre formas de pedido,
como por exemplo nas causas relativas a erros médicos e outras. Há, assim, a uma primeira
vista, tripartição de pedidos: personal injury , clinical negligence claims e house disrepair.
32 SHERRINGTON, Patrick P.; DURRANT, Lovell White. The new Civil Procedure Rules in
England . London 33 Obtido por meio eletrônico: <http://www.efc.ie/publications/dispatch/issue09/litigation.html>,
acessado em 04/01/2004. 34 N.A. Em tradução livre do autor.
22
Analisaremos o personal injury , dada sua similitude ao modern pleading .
5.1.1 PERSONAL INJURY
O sistema inglês, ainda que inseridas normas de processo civil através de um
código, apresentam o pedido de forma simples. Admitimos, até, que de forma mais simples
que àquela analisada no pedido norte -americano, da notice pleading.
Ainda que seja de grande simplicidade o pedido no sistema inglês, as cortes
oferecem serviços onde contêm os dados a serem inseridos no mesmo. Trata -se do pre-
action protocol que pode ser acessado, pela Internet, no endereço eletrônico:
http://www.dca.gov.uk/civil/procrules_fin/contents/protocols/prot_pic.htm.
A fim de demonstrar a simplicidade do personal injury e da forma como se procede
ao pre-action35, o modelo seguido na Inglaterra é o seguinte:
To
Defendant
Dear Sirs
Re: Claimant’s full name
Claimant’s full address
35 Outras formas de protocolo podem ser adquiridas em: < http://www.courtservice.gov.uk>
23
Claimant’s Clock or Works Number
Claimant’s Employer ( name and address )
We are instructed by the above named to claim damages in connection
with an accident at work/road traffic accident/tripping accident
on day of (year) at (place of accident which must
be sufficiently detailed to estab lish location)
Please confirm the identity of your insurers. Please note that the insurers
will need to see this letter as soon as possible and it may affect your
insurance cover and/or the conduct of any subsequent legal proceedings
if you do not send this letter to them.
The circumstances of the accident are: -
(brief outline)
The reason why we are alleging fault is:
(simple explanation e.g. defective machine, broken ground)
A description of our clients’ injuries is as follows: -
(brief outline)
(In cases of road traffic accidents)
24
Our client (state hospital reference number) received treatment for the
injuries at (name and address of hospital).
He is employed as (occupation) and has had the following time off work
(dates of absence) . His approximate weekly income is (insert if known)
.
If you are our client’s employers, please provide us with the usual
25
Diversamente do sistema americano, não se visualiza no sistema inglês a
necessidade de inserir a cause of action . Poderíamos afirmar que no direito in glês há a
cauda de pedir remota , ou seja, na lição de Leonardo Greco (2003), onde “ se incluem os
fatos violadores do direito subjetivo material 36”.
Verificamos, assim, que o sistema inglês, apesar de ser diverso do americano, já que
aquele adotou, verdade iramente, um Código de Processo, é mais flexível que o americano.
As fórmulas propostas pelas Cortes também facilitam – e simplificam - o pedido.
É importante destacar o texto doutrinário de Lord Chancellor 37, quando apresenta os
requisitos no personal in jury:
“(a) set out a short description of the claim and a succinct statement of the facts relied on;
(b) certify that the claimant believes the contents to be true;
(c) indicate the remedy claimed;
(d) specify any document on which the case depends;
(e) certify the claimant's belief, where he is claiming money, that he reasonably expects to recover:
(i) up to £3,000;
(ii) between £3,000 and £10,000;
(iii) over £10,000.”
Conclui-se, pois, quanto ao pedido inglês, que o mesmo é mais simples que o
americano, apesar de encontrar crítica na doutrina, dada a modificação com a implantação
36 Cf. op .cit. 37 ACCESS TO JU STICE, Final Report to the Lord Chancellor on the civil justice system in England and Wales. Obtido por meio eletrônico:< http://www.dca.gov.uk/civil/final/contents.htm>, acessado em 04/01/2004.
26
do CPC inglês. Mas, como ressalta José Carlos Barbosa Moreira, a adoção do CPC na
Inglaterra não modifica o sistema legal anglo -saxônico. E assim concluímos, porque não
há, evidentemente, mudança do direito afiliado à família da common law para a família da
civil law.
5.1.2 RESPOSTA DO RÉU
A resposta do réu, conforme lecionam Tamara Goriley et al38., encontra limite.
Segundo os autores, há um limite substantivo para a respo sta do réu e, desta forma,
problemas vêm sendo enfrentados no novo modelo inglês. Neste caso, os protocolos de
resposta não se apresentam suficientes para a explanação da defesa do réu e, ainda,
conforme indicam os professores ingleses, há um certo agravam ento quando se está diante
de causas envolvendo acidentes de trânsito.
Apesar da liberalidade e da simplicidade do modelo inglês, não nos parece tão
maleável e mais afeito ao encontro do direito material da parte. Admitimos que o sistema
da modern pleading, desta forma, se apresenta mais completo e satisfatório, notadamente
em termos de acesso à justiça, que o modelo inglês.
Este pensamento ressalta a possibilidade de acordos na fase pre-action, além, é
claro, como analisado linhas acima, a necessidade de aplicação das ADR´s, notadamente a
mediação.
Outra dificuldade encontrada pelos autores diz respeito à estabilização do pedido,
que se estabiliza, prima facie , diante do claim. Contudo, admitem que a cooperação entre as
partes poderá resolver o proble ma.
38 Ob. cit.
27
Concluí-se, pois, que o sistema americano, apesar de não adotar um modelo
napoleônico, em termos de pedido, se apresenta de forma mais consistente e atenta ao
acesso à justiça que o modelo inglês.
Contudo, as pesquisas não podem cessar, já que o mo delo inglês é novo e depende,
ainda, ser assimilado pela literatura inglesa, a fim de melhor se estudar o sistema em
questão.
28
6 DECISÃO E PRINCÍPIO DA ADSTRIÇÃO
Tendo em vista o presente trabalho ter sido elaborado sem adentrar no trial by jury ,
a decisão em análise será aquela proferida por juiz em casos onde não há formação do
mesmo, ou trial judge . E a decisão aqui analisada será a final, não se cogitando de decisões
interlocutórias – interlocutory injunction .
Assim, a análise do que venha a ser o pr incípio da adstrição como por nós
conhecido, se apresenta relevante, dada a diferença entre os sistemas estudados.
Nos termos do art. 128 do CPC brasileiro, o juiz julgará a lide nos termos em que
ela foi proposta. O Prof. Dr. Leonardo Greco 39, ao analisar os fatos e o direito
identificadores da demanda, leciona:
“ARRUDA ALVIM esclarece, a meu ver corretamente, que o art. 131 do CPC refere -se aos fatos simples, considerados na linha do fato jurídico e que o juiz fica adstrito aos fatos jurídicos aduzidos p elo autor, não aos fatos simples.”
A ementa do Tribunal de Justiça do Distrito Federal e Território, ora excertada, bem
demonstra o princípio da adstrição:
39 Ob. cit.
29
“REINTEGRAÇÃO DE POSSE. TERRAS PÚBLICAS. INVASÃO. INEXISTÊNCIA DE DIREITO DE RETENÇÃO POR BENFEITO RIAS. FALTA DE PEDIDO. 1- Se o ocupante não tinha autorização para ocupar o imóvel, do domínio público, entrando nesse clandestinamente, sequer há que falar em posse, muito menos de boa -fé, inexistindo, por conseguinte, direito à indenização pelas benfeito rias necessárias e úteis, assim como exercer o direito de retenção, quanto a essas, e levantar as voluptárias (CC, art. 516). 2- Inexistindo pedido específico de indenização por benfeitorias, inviável assegurar esse direito face o princípio da adstrição do juiz ao pedido (CPC, arts. 459 e 460). 3- Apelo provido. (APC nº 2000015003425 -3, Acórdão nº 132401, Rel. Des. LÉCIO RESENDE, DJ 06.12.2000).”
Assim sendo, como entender o princípio da adstrição em face da possibilidade de
mudança do pedido, na modern pleading?
Quando se está diante das regras federais, o juiz deverá julgar de acordo com os
fatos e não se pode estar distante da lei. Esta norma, contudo, não se encontra presente em
todos os estados americanos.
Por todo o analisado, verifica -se que de alguma forma há o princípio da adstrição no
sistema americano, ainda que haja a possibilidade de modificação do pedido após a resposta
do réu, para que o mesmo esteja de acordo com os fatos apresentados.
Assim sendo, para que haja um julgamento de acordo com as normas federais, o juiz
deverá estar adstrito ao pedido das partes – princípio da adstrição. Melhor será analisado o
princípio através da análise de cada decisão eleita.
30
7 ANÁLISE DE DECISÕES
7.1 DISTRITO DE COLUMBIA
7.1.1.1 Argued November 15, 1999 Decided De cember 21, 1999 - No. 98-1558 - Chiron Corporation and PerSeptive Biosystems, Inc., Petitioners v. National Transportation Safety Board, et al.
Análise: A sentença proferida, conforme se pode visualizar logo após as análises
aqui formuladas, é completa, apresentando todos os fatos necessários ao deslinde da causa.
Da análise contida no relatório da sentença, o autor relata os fatos, aplicando -os à lei
em abstrato. Trata -se da narrativa dos fatos e fundamentos jurídicos do pedido, na cause of
action , conforme analisado no item relativo ao pedido. A sentença do juiz singular,
contudo, conclui que: “ this claim fails, however, because there is no statute, regulation, or
any other source of law that secures for parties to an NTSB investigation unfettered acce ss
to all information garnered by the Board. In short, petitioners have no legal basis for the
alleged rights that they seek to enforce. Because petitioners lack standing to bring this suit,
their petition for review is dismissed .”
Diante do analisado qu anto ao pedido no sistema da modern pleading , ainda que
pareça simples, é necessário que o autor peça de acordo com a lei. Em verdade, o sistema
norte-americano preza pela aplicação do direito material, mas não refuga algumas regras de
procedimento.
Por esta razão, a Corte de Apelação negou provimento ao recurso do autor.
Quanto ao princípio da adstrição, concluímos que o mesmo tenha sido respeitado no
que diz respeito ao presente caso.
31
7.2 IN THE SUPREME COURT - STATE OF NORTH DAKO TA
7.2.1.1 J. Malcolm Thompson, Plaintiff and Appellant v. Larry R. Peterson, David B. Danbom, Yur-Bok Lee, Gerald Anderson, Thomas Isern, Harriette McCaul, Rick D. Johnson, all of whom are and/or were persons employed within the teaching faculty and/or administration at North Dakota St ate University, being named herein as having acted in both their individual and official capacities, and North Dakota State University, a publicly supported institution of higher learning under the control of the North Dakota State Board of Higher Educatio n, Defendants and Appellees Civil No. 950276
Análise: Assim como nos demais casos analisados, o que se verifica no sistema
americano é uma grande força vinculante dos precedentes. É certo afirmar que apesar de
inserir um Código de Processo Civil na Ingl aterra e que haja a existência de regras federais
de Processo Civil não afastam as características próprias do sistema da common law.
Os precedentes, respeitando -se o princípio da adstrição, que já vimos presente
quando se está diante das regras federais e de algumas cortes estaduais, servem de auxílio
para a prolação da sentença.
O caso em análise diz respeito à forma. Em verdade, com mais propriedade, se pode
afirmar que os apelantes erraram no que diz respeito à jurisdição e, por esta razão, o pedido
não foi apreciado pelo juiz, nem tampouco pela Corte de Apelação.
Contudo, chama a atenção o relatório circunstanciado nas decisões e, ainda, como
os precedentes auxiliam os julgados.
32
7.3 UNITED STATES COURT OF APPEALS - FOR THE THIRD CIRCU IT
7.3.1.1 THOMAS H. TAYLOR, Appellant v. THE PEOPLES NATURAL GAS COMPANY, a subsidiary of Consolidated Natural Gas Company; SYSTEM PENSION PLAN OF CONSOLIDATED NATURAL GAS COMPANY, Number 001; THE ANNUITIES AND BENEFITS COMMITTEE, the plan administrator, Appellees
Análise: No caso em questão o réu optou pela affirmative deffense , o que foi
rechaçado pelo autor:
“We answer this question in the affirmative, and conclude that the defendants are responsible for any material misstatements made by Burgunder to Taylor regardin g possible changes in PNG's pension plan since, in counseling Taylor, Burgunder was acting, at a minimum, within his apparent authority as an agent of the defendants. We will, however, affirm the judgment because the statements allegedly made by Burgunder do not, as a matter of law, constitute a misrepresentation of a material fact.”
Durante o processo, ao que tudo indica pela análise da decisão, o apelante (autor),
não conseguiu bem demonstrar os fatos que justificavam seu pedido. A affirmative
deffense, desta forma, rebatida pelo autor, prejudicou o pedido inicial e a Corte de Apelação
manteve a decisão.
Concluí-se, aqui também, que se encontra respeitado o princípio da adstrição.
33
8 DECISÕES ESTUDADAS
8.1 DISTRITO DE COLUMBIA
United States Court of Appe als
FOR THE DISTRICT OF COLUMBIA CIRCUIT
Argued November 15, 1999 Decided December 21, 1999
No. 98-1558
Chiron Corporation and
PerSeptive Biosystems, Inc.,
Petitioners
v.
National Transportation Safety Board, et al.,
Respondents
On Petition for Review of an Order of the United States Department of Transportation Jerry
W. Cox argued the cause for petitioners. With him on the briefs were Richard S. Odom and
Martin Shulman Peter R. Maier, Attorney, U.S. Department of Justice, argued the cause for
respondents. With him on the brief were David W. Ogden, Acting Assistant Attorney
General, Leonard Schaitman, Attorney, and Wilma A. Lewis, U.S.
Attorney. Mark E. Nagle, Assistant U.S. Attorney, entered an appearance.
Before: Edwards, Chief Judge, Silberman and Hen derson, Circuit Judges.
Opinion for the Court filed by Chief Judge Edwards.
Edwards, Chief Judge: The National Transportation Safety Board ("NTSB" or "Board") is
an independent federal agency charged with investigating airplane accidents. The agency
does not function as a traditional regulatory or adjudicatory body; rather, its principal
missions are to determine the probable cause of accidents and make recommendations that
34
will help prevent future accidents. Private parties who are involved in an accident (other
than just as victims) may be designated to participate in an NTSB investigation, but their
involvement is voluntary and it does not include an adjudication of individual claims.
In the instant case, petitioners, Chiron Corporation ("Chiron") and Per Septive Biosystems,
Inc. ("PerSeptive"), participated as parties in an NTSB investigation of an accident
involving Federal Express Flight 1406. Concerned that they might be found responsible for
the accident and eventually face claims of liability in a civ il suit, petitioners asked NTSB
for a copy of the cargo list for Flight 1406. The Board refused to disclose the cargo list, in
part because Federal Express viewed the data as privileged, business information.
Petitioners then filed this law suit, claiming injury from NTSB's refusal to release the
requested information and seeking an order requiring its production. We dismiss the
petition for review, because petitioners lack standing.
Petitioners first argue that NTSB's denial of information injures them, b ecause it may
disadvantage them as defendants in a civil suit that Federal Express has filed against them.
However, any possible injury to petitioners as defendants in a civil law suit is not legally
cognizable here, because it is not an injury that petiti oners will suffer as a consequence of
their participation in the NTSB investigation. In other words, in order to have standing to
bring this law suit, petitioners must have suffered an injury related to their involvement as
parties to the NTSB investigatio n. They cannot show this.
Furthermore, there is little likelihood that petitioners will suffer any injury of the sort that
they claim. Petitioners are concerned that NTSB's report may be admitted as evidence in a
lawsuit that Federal Express has filed agai nst them.
They hope that the information they seek will reveal new evidence that they can use to
convince NTSB to change its report so that it will not adversely affect them in the pending
lawsuit. This is an idle concern, for Congress has made it clear t hat NTSB reports,
including probable cause determinations, are not admissible as evidence in a civil lawsuit.
Thus, the Board's report will not control the results in any civil litigation over Flight 1406.
35
Petitioners also argue that, as parties to the inv estigation, they have a legal right to the
plane's cargo information.
Petitioners contend that such a right may be found in the Board's regulations and in a
written Guidance given to them as parties to the investigation. Thus, according to
petitioners, NTSB's denial of their request for the cargo list caused them an informational
injury. This claim fails, however, because there is no statute, regulation, or any other source
of law that secures for parties to an NTSB investigation unfettered access to all i nformation
garnered by the Board. In short, petitioners have no legal basis for the alleged rights that
they seek to enforce. Because petitioners lack standing to bring this suit, their petition for
review is dismissed.
I. Background
A. NTSB Investigations NTSB is a uniquely independent federal agency responsible for
investigating airplane accidents, determining the probable cause of accidents, and making
recommendations to help protect against future accidents. See 49 U.S.C. ss 1131, 1132,
1135 (1994). NTSB neither promulgates nor enforces any air safety regulations. Nor does
the agency adjudicate claims over liability for accidents. Rather, it simply analyzes
accidents and recommends ways to prevent similar accidents in the future.
Congress has endowed NTS B with broad powers to accomplish its missions, because the
work of the agency is viewed as extremely important. See S. Rep. No. 101 -450, at 2 (1990)
("The NTSB's mission ... is critical."). An officer or employee of the Board can enter a site
where an acc ident has occurred and "do anything necessary to conduct an investigation." 49
U.S.C. s 1134(a)(1) (1994). The Board may inspect and test any aircraft, aircraft engine, or
property on an aircraft that has been involved in an accident, and the Board has sol e
discretion to determine how those tests are to be conducted. See 49 U.S.C. s 1134(b), (d)
(1994). Most importantly, the Board's investigations have "priority over any investigation
by another department, agency, or instrumentality of the United States Go vernment." 49
U.S.C. s 1131(a)(2) (1994). The Board has used these broad powers wisely, achieving
notable successes in its work and receiving high praise for the integrity of its investigative
36
processes. See S. Rep. No. 104 -324, at 2 (1996) ("The Safety Bo ard's reputation for
impartiality and thoroughness has enabled it to achieve such success in shaping
transportation safety improvements that more than 80 percent of its recommendations have
been implemented.").
Although NTSB investigations are conducted by agency staff, outside individuals may be
designated to participate as well. Only the Federal Aviation Administration ("FAA") has a
right to participate in an investigation; however, the Board's regulations allow the
individual in charge of an investigatio n to designate private parties to participate if their
involvement would assist the investigation. See 49 C.F.R. s 831.11 (1998). The regulations
specify that "parties shall be limited to those persons, government agencies, companies, and
associations whose employees, functions, activities, or products were involved in the
accident or incident."
Id. It is often the case that corporations or individuals suspected of causing an accident will
be invited to participate in an investigation, whereas victims of t he accident will not. The
rationale for this approach is that parties who may have caused an accident will provide
investigators with valuable information; they may also learn how to improve the safety of
their products or activities to avoid future accide nts. The same cannot be said of accident
victims. See John W. Simpson, Use of Aircraft Accident Investigation Information in
Actions for Damages, 17 J. Air L. & Com. 283, 290 (1950) ("[R]epresentatives of industry
and employee groups are often permitted to participate in the investigation and thus have
access to much information, while the representatives of the victims seldom participate in
the investigation. These procedures are absolutely necessary in order to determine the
probable cause of an accident. ").
Moreover, an NTSB investigation is a "fact -finding proceeding[ ] with no formal issues and
no adverse parties. [It is] ... not conducted for the purpose of determining the rights or
liabilities of any person." 49 C.F.R. s 831.4 (1998).
Board regulations and policies are explicit in providing that parties participating in an
investigation are involved in NTSB processes only to assist the safety mission and not to
37
prepare for litigation. Parties are required to sign a "Statement of Party Representatives to
NTSB Investigation," which requires them to agree that their "participation is not for the
purposes of preparing for litigation," but, rather, "for the purpose of providing technical
assistance to the [NTSB]."
Statement of Party Representatives to NTSB Investigators reprinted in 1 Deferred
Appendix, at 435; see also 49 C.F.R. s 831.11(b) (requiring parties to sign the "Statement
of Party Representatives to NTSB Investigation" in order to participate in the
investigation).
Parties assist the investigatio n in a variety of ways. See "Information for the Guidance of
Parties to Safety Board Investigations of Accidents" ("Guidance"), reprinted in Br. for
Respondents at 1c; see also "Guidance for Party Coordinators and Other Participants in the
Investigation of Aircraft Accidents," 2 National Transportation Safety Board Aviation
Investigation Manual, app. D (containing much of the same information). They provide
information about their products or activities. They may also join various groups organized
for the investigation, such as a group organized to investigate hazardous materials. They
report to the investigator in charge, who, in turn, provides the groups and parties with
information about any developments in the investigation.
These groups may then write a report at the end of the investigation detailing their findings
and suggestions. Parties may also submit their own report at the end of the investigation
suggesting the probable cause of the accident.
In addition to the reports submitted by the investiga tion groups and the parties, NTSB
investigators also prepare factual accident reports that are submitted to the Board.
Public hearings are sometimes held. From this information, the Board compiles and
publishes a final accident report that contains factua l findings, a probable cause finding,
and safety recommendations.
B. The Investigation of Flight 1406 On September 5, 1996, Federal Express Flight 1406's
cargo caught fire. Unable to control it, the crew made an emergency landing, but smoke and
fire destroyed the plane and most of its cargo. NTSB immediately began an investigation,
38
which quickly focused on a DNA synthesizer as the possible source of the fire's ignition.
Chiron, who owns the synthesizer, and PerSeptive, who manufactures it, were invited to
participate in the investigation. Both Chiron and PerSeptive were actively involved in the
investigation, but neither was happy with its progress.
Chiron and PerSeptive have maintained that something other than the DNA synthesizer
may have started the fire on Flight 1406. When they were unable to convince NTSB
investigators to focus on other possibilities, Chiron and PerSeptive resolved to explore
these possibilities on their own.
To that end, they sought to discover what else Federal Express was carrying o n Flight 1406.
NTSB, however, refused to disclose the cargo list. Chiron and PerSeptive then filed formal
petitions requesting the cargo information.
Their petitions were denied. The Board explained that party status did not grant parties a
right to information and that it was withholding the information because Federal Express
considered the information to be a trade secret. See Letter from Daniel D. Campbell,
General Counsel, National Transportation Safety Board, to Jay E. Grover, Director,
Environmental Health and Safety, Chiron Corp. (Oct. 31, 1997), reprinted in Respondent's
Appendix at 139 -40; Letter from Daniel D. Campbell, General Counsel, National
Transportation Safety Board, to Jerry W. Cox (May 4, 1998), reprinted in Respondent's
Appendix at 151. This petition for review followed.
II. Analysis
The first and, as it turns out here, only issue before the court is a question of standing. If, as
we hold, petitioners lack standing, then this court is without jurisdiction to decide
the merits of their c laims. See Steel Co. v. Citizens for a Better Env't, 523 U.S. 83, 94 -95
(1998). In order to establish their standing, petitioners must show that they have suffered a
particularized injury to a cognizable interest, which is fairly traceable to the Board's
actions, and that a favorable judicial decision will redress the injury. See Lujan v.
Defenders of Wildlife, 504 U.S. 555, 560 -61 (1992). The problem facing petitioners in this
case is that they have suffered no injury.
39
Petitioners argue that they are inju red in two ways by the Board's refusal to give them a
copy of the cargo list. First, they argue that the denial of information injures them, because
they need the information to correct the Board's faulty report, which may be used against
them in a civil suit.
Second, they contend that they have suffered an informational injury, because, they claim,
they have a legal right to obtain the cargo list. These arguments are meritless.
A. Injury By Virtue of Civil Litigation
Petitioners apparently are afraid that the factual portion of NTSB's report may be admitted
as evidence in a lawsuit that Federal Express has filed against them. See Joint Br. for
Petitioners at 21 ("[S]ome day a judge and/or a jury may be asked to rely on supposedly
'factual' evidence from an NTSB investigation that did not include all pertinent material.").
Petitioners object to the report as written, and they hope that the information they seek will
reveal new evidence that they can employ to convince the NTSB to change its report so that
it will not be so damaging to them in the pending lawsuit.
This alleged injury is not cognizable, because petitioners bring this petition for review as
parties to an NTSB investigation, and, as parties, they cannot claim injuries that they
might suffer as defendants in an entirely separate civil law -suit.
As an initial matter, we reject the premise that NTSB's report itself is admissible in a civil
lawsuit. Congress has quite explicitly provided that, [n]o part of a report of the Board,
related to an accident or an investigation of an accident, may be admitted into evidence or
used in a civil action for damages resulting from a matter mentioned in the report. 49
U.S.C. s 1154(b) (1994). The simple truth here is that NTSB investigatory procedures are
not designed to facilitate litigation, and Congress has made it clear that the Board and its
reports should not be used to the advantage or disadvantage of any party in a civil lawsuit.
In our view, this congressional mandate could not be clearer.
Petitioners po int out that, despite the statute's clear language, some early circuit court
opinions held that NTSB "factual findings" were admissible in civil litigation. Joint Br. for
Petitioners at 20 (citing authority). A careful review of these opinions, however, s hows that
40
these early cases actually focused only on the admissibility of investigators' reports which
were mislabeled by the courts as "report[s] of the Board." See, e.g., American Airlines, Inc.
v. United States, 418 F.2d 180, 196 (5th Cir. 1969) (allowi ng admission of graphs that were
based on information from a safety committee's report); Berguido v. Eastern Air Lines,
Inc., 317 F.2d 628, 631 -32 (3d Cir. 1963) (allowing testimony of witness based on
investigator's report); Lobel v. American Airlines, In c., 192 F.2d 217, 220 (2d Cir. 1951)
(allowing admission of an investigator's report of his examination of the plane wreckage).
Because of this judicial mislabeling, these circuits
created what they supposed was an "exception" to s 1154(b) for factual dat a from NTSB
investigations in order to protect the interests of alleged victims. See, e.g., Berguido, 317
F.2d at 631 -32 (finding testimony based on an investigator's report admissible, despite the
statute, because of the need to "compromise between the in terests of those who would
adopt a policy of absolute privilege ... and the countervailing policy of making available all
accident information to litigants in a civil suit"). In short, the need to insure that victims had
access to investigators' factual da ta surrounding an accident prompted the courts in the
early years to allow admission of what they labeled as a "report of the Board."
When faced with the judiciary's literal distortion of the statute, the Board, in 1975,
responded by amending its regulatio ns to make clear that investigators' reports --the very
reports that some courts were already admitting --are not "reports of the Board" for the
purpose of s 1154(b). Section 835.2 defines the Board's accident report as "the report
containing the Board's de terminations, including the probable cause of an accident." 49
C.F.R. s 835.2 (1998). No part of this report "may be admitted as evidence or used in any
suit or action for damages growing out of any matter mentioned in such reports." Id. (using
almost the exact language of 49 U.S.C. s 1154(b)). A "factual accident report," on the other
hand, is "an investigator's report of his investigation of the accident." Id. Because this
report is not a "report of the Board," it is not barred by the statute and is there fore
admissible. As counsel for NTSB made clear during oral argument, the only reports that are
admissible "are the factual reports that investigators do, not the Board's findings, either
41
factual or probable cause, but what individual investigators find... . [T]hose reports of these
factual developments are made part of the record and parties can get that."
Audio-tape of Oral Arguments (Nov. 15, 1999). Thus, because investigators' reports are
now plainly admissible under agency regulations, victims have acc ess to necessary factual
information. Therefore, courts no longer need to employ an "exception" to the statute to
protect parties in litigation.
Our research indicates that, since the promulgation of the Board's 1975 rule, only two
circuit court opinions h ave failed to recognize that the admissibility of investigators' reports
obviates the need for a judicial exception to the statute. See Mullan v. Quickie Aircraft
Corp., 797 F.2d. 845, 848 (10th Cir. 1986) ("[E]xpert witness properly relied on the factual
portions of the NTSB report."); Curry v. Chevron, USA 779 F.2d 272, 274 (5th Cir. 1985)
(acknowledging judicial gloss of the statute "that allow[s] factual portions of the report to
be admitted"). In each case, the courts distinguished between the "factual portions" of
Board reports and "parts of NTSB reports which contain agency conclusions on the
probable cause of accidents." Mullan, 797 F.2d at 848. However, neither opinion is weighty
authority, even for the limited rule enunciated, because there are lat er decisions from both
circuits that adhere to the strict terms of the statute. Subsequent to Mullan, the Tenth
Circuit has held that, "[c]onsistent with its fact -finding mission that is litigation neutral,
NTSB reports are barred as evidence in court." Th omas Brooks v. Burnett, 920 F.2d 634,
639 (10th Cir. 1990); accord Jetcraft Corp. v. Flight Safety Int'l, 16 F.3d 362, 366 (10th Cir.
1993). And even more recently, in 1998, the Fifth Circuit has noted that:
Federal law flatly prohibits the NTSB accident r eport from being admitted into evidence in
any suit for damages arising out of accidents investigated by the NTSB.
Campbell v. Keystone Aerial Surveys, Inc., 138 F.3d 996, 1001 (5th Cir. 1998).
We agree with these recent decisions from the Fifth and Tenth Circuits, and also a decision
from the Ninth Circuit, see Benna v. Reeder Flying Serv., Inc., 578 F.2d 269, 271 (9th Cir.
1978), holding that, under the plain terms of the statute, NTSB reports are inadmissible in
civil litigation. When the statute was int erpreted broadly to include investigators' reports,
42
there may have been a public policy justification for admitting factual information.
However, once the statute was interpreted more narrowly, no justification remained for any
exception to s 1154(b).
Moreover, as this case demonstrates, admitting Board reports into civil litigation can have
the unsavory affect of embroiling NTSB in the interests of civil litigants. Thus, the
statute means what it says: No part of the Board's actual report is admissible as evidence in
a civil suit. See Universal Airline, Inc. v. Eastern Air Lines, Inc., 188 F.2d 993, 1000
(D.C. Cir. 1951) (noting that the Board should not be compelled to produce its reports).
Because it is the Board's actual report that petitioners hope to change, they are not injured
by their inability to change it, because it is not admissible in a civil suit.
Even if the report were admissible, however, petitioners' injury as civil litigants is simply
not cognizable in this case.
Petitioners bring this suit as parties to an NTSB investigation. As parties, they signed a
statement agreeing that their participation would be for the purpose of assisting NTSB's
investigation and would not be for the purpose of preparing for litigation. See Statement of
Party Representatives to NTSB Investigation, reprinted in 1 Deferred Appendix at 435.
Furthermore, NTSB's investigations are fact -finding proceedings; they are not conducted
for the purpose of determining the rights or liabilities of any party. Therefore,
the injuries petitioners might suffer as civil defendants are not relevant to their status as
parties. Accordingly, because petitioners bring this suit as parties to an NTSB investiga -
tion, their injuries as civil litigants are not legally cognizable. Whateve r data they may
require in litigation, apart from the Board's report, may be obtained through the normal
course of discovery.
B. Informational Injury
Petitioners also argue that NTSB's denial of information has caused them an informational
injury. Petitioners rely principally on Cummock v. Gore, 180 F.3d 282 (D.C. Cir. 1999),
which held that, as a member of a committee regulated by the Federal Advisory Committee
Act ("FACA"), Cummock had a right of participation that created a right to information,
43
and that "she suffered an injury under FACA insofar as the Commission denied her
requests for information that it was required to produce." 180 F.3d at 290. Petitioners argue
that, "as parties to an NTSB investigation," they have "judicially -enforceable Cummock
rights" that entitle them to the information they seek. Joint Br. for Petitioners at 26.
Petitioners' argument fails, however, because, unlike FACA, nothing in NTSB's statute,
regulations, or other sources of law requires NTSB to produce this information to
petitioners.
Therefore, the denial of information does not give rise to an informational injury.
Unlike FACA, NTSB's organic statute does not grant parties to an NTSB investigation
rights of participation.
FACA provides that federal advisory committees are "to be fairly balanced" and structured
to insure that the advice of the committee reflects its "independent judgment." 5 U.S.C.A.
app. 2 s 5(b)(2) (1996); id. at s (b)(3). In Cummock, this court held that, "to give meaning
to FACA's fair balance and in dependent judgment provisions, the Act must be read to
confer on a committee member the right to fully participate in the work of the committee to
which he or she is appointed." Id. at 291. The right of participation, the court held, endowed
committee members with a right to information. See id. at 292. NTSB's statute does not
confer any such rights on a party to an investigation. Congress, quite simply, provided that
"[t]he National Transportation Safety Board shall investigate or have investigated (in det ail
the Board prescribes) and establish the facts, circumstances, and cause or probable cause
of--(A) an aircraft accident...." 49 U.S.C. s 1131(a)(1). The statute does not require the
investigation either to be balanced or even to involve any outside pers ons; it places the
responsibility of investigating the accident solely within NTSB's hands. Thus, nothing in
the statute gives petitioners the Cummock rights of participation and information that they
seek to enforce.
In addition, there is legislative hist ory showing that Congress did not want the interests of
private parties to constrain an NTSB investigation. The Senate Committee on Com -
44
merce, Science, and Transportation noted that "[c]ourts typically have recognized and
appreciated the important public purpose served by the NTSB's ability to conduct prompt
investigations without the burdens and interference that would stem from injecting the civil
litigation interests into the NTSB's accident investigation process." S. Rep. No. 101 -450, at
5. The Committee continued, adding that [t]he time devoted by NTSB investigations in
defending their decisions diverts the energies that they should be directing to investigating
the accidents.... [T]he committee strongly believes that the ability of the NTSB to conduct
investigations independently, thoroughly, and in a timely manner for the benefit of the
public, should not be compromised.
Id. Equipping parties with a right to information would "inject[ ] the civil litigation interests
into the NTSB investigation proces s" and compromise the investigation, a prospect against
which Congress admonished. Thus, not only does the statute fail to endow parties with a
right to information, legislative history admonishes against reading such a right into the
statute.
Neither can the right be found, as petitioners argue, in either NTSB's regulations or a
Guidance that NTSB gave petitioners as parties to the investigation. Nothing in the
regulations speaks to the rights petitioners seek to enforce, and the Guidance is not a source
of law enforceable against NTSB. Petitioners point to a handful of regulations that they
argue create a right to information, but they are grabbing at
straws. 49 C.F.R. s 831.11(a), which states that NTSB shall only appoint parties who "can
provide suitable qualified technical personnel actively to assist in the investigation," does
not, as petitioners argue, require NTSB to provide parties with all the facts of an
investigation. Rather, the regulation speaks only to qualifications necessary to become a
party: The corporation or individual must provide someone who has the time and expertise
to assist the investigation. Likewise, s 831.11(a)(4), which provides that the FAA and other
qualified entities will have "the same rights and privileges ... as other par ties" does not itself
provide rights to any party.
45
Finally, s 831.14(a) cannot, as petitioners argue, endow parties with any rights, because it
merely says that "[a]ny person ... may submit to the Board written proposed findings to be
drawn from the evide nce produced during the course of the investigation." 49 C.F.R. s
831.14(a) (1998) (emphasis added).
Petitioners' most noteworthy argument rests on part four of the NTSB Guidance that is
given to all parties to an investigation. The Guidance says that "[a] ll factual information
and developments of the investigation that are made known to the [Investigator in Charge]
will be passed to each party spokesman." Guidance, reprinted in Br. for Respondents at 2c.
Petitioners maintain that, pursuant to this statemen t in the agency's Guidance, they have a
legal right to information. Petitioners' problem, however, is that the Guidance does not
establish a binding legal norm.
Petitioners argue that the Guidance is binding on the Board, because it is incorporated into
the Board's regulations.
Petitioners' attempt to demonstrate this incorporation at oral argument was, as they
acknowledged, convoluted. Counsel argued that s 831.11(b) requires parties to sign a
"Statement of Party Representatives to NTSB Investigation," an d the Statement then
connects to the Guidance, which contains the sentence endowing them with a right to the
information. In their brief, petitioners simplified the route and argued instead that the Party
Statement itself "spells out Petitioners' rights an d the procedures NTSB would follow, and
promised Petitioners full participation and sharing in all pertinent factual
developments and deliberations." Joint Br. for Petitioners at 11. Both versions are wrong.
The Party Statement gives petitioners no rights . It is a one-page document that discusses
their duties as parties and requires them to waive their right to assert privilege in litigation
with respect to information or documents obtained during the course of the investigation. It
does not discuss their rights as parties, let alone "promise[ ] Petitioners full participation
and sharing in all pertinent factual developments." It entitles petitioners to nothing. Neither
does the Party Statement incorporate the Guidance. The Party Statement makes no
46
reference--either explicitly or implicitly --to the Guidance. Thus, there is no link between
the Board's regulations and the Guidance.
Without that link, the Guidance is not a source of law; rather it is exactly what it appears to
be, a hand-out that gives informat ion, not rights, to parties in an NTSB investigation. While
some unpublished agency pronouncements can be binding, not every "piece of paper
emanating from a Department or Independent Agency is a regulation." Piccone v. United
States, 407 F.2d 866, 877 (Ct . Cl. 1969) (Nichols, J., concurring). The general test is
whether the agency intended to bind itself with the pronouncement. See Padula v. Webster,
822 F.2d 97, 100 (D.C. Cir. 1987). Agency intent is "ascertained by an examination of the
provision's langu age, its context, and any available extrinsic evidence."
Doe v. Hampton, 566 F.2d 265, 281 (D.C. Cir. 1977). Here, petitioners make no showing,
and we can find none, that NTSB intended the Guidance to be binding.
NTSB certainly never has stated an intenti on to be bound by the Guidance. See Service v.
Dulles, 354 U.S. 363, 373 -74, 377-82 (1957) (finding departmental regulations to be
binding where the agency explicitly adopted the regulations to bind its discretion). Indeed,
we cannot imagine why NTSB would ever limit its ability to collect and digest information
as it sees fit. The agency is not in the business of facilitating private investigations by
private parties, so it would make no sense for NTSB to bind itself to serve as a repository of
information for private parties who are angling to protect their interests in litigation. The
Guidance simply indicates that, during an investigation, parties may share in some
information gathered by the Board; however, the Guidance guarantees nothing.
Manuals or procedures may be binding on an agency when they affect individuals' rights.
See Morton v. Ruiz, 415 U.S. 199, 235 (1974) (holding that an agency is bound by
procedures in its manual where an individual's entitlement to government benefits was
affected by procedures); Massachusetts Fair Share v. Law Enforcement Assistance Admin.,
758 F.2d 708, 711 (D.C. Cir. 1985) (holding that an agency is bound by regulations in its
manual delineating procedures for grant -funding). But see Schweiker v. Hansen, 450 U.S.
785, 789 (1981) (declining to find internal rules set forth in a handbook binding where
47
relief would have been inconsistent with a published regulation). Because an NTSB
investigation does not itself determine the rights of the parties, see 49 C.F.R. s 831.4
("Accident/incident investigations are fact -finding proceedings.... [They] are not conducted
for the purpose of determining the rights or liabilities of any person."), however, the
Guidance cannot be viewed as a binding rule on these terms.
In sum, because NTSB has never indicated an intention to be bound by the Guidance and
because the investigation does not affect petitioners' rights, the Guidance does not endow
petitioners with any rights to seek the information at issue.
Accordingly, they have not suffe red any informational injury.
III. Conclusion
Petitioners cannot demonstrate that NTSB's denial of the information they seek has injured
them. Without injury, petitioners have no standing to bring this suit. Therefore,
the petition for review is dismisse d.
8.2 IN THE SUPREME COURT - STATE OF NORTH DAKO TA
J. Malcolm Thompson, Plaintiff and Appellant
v. Larry R. Peterson, David B. Danbom, Yur -Bok Lee, Gerald Anderson, Thomas
Isern, Harriette McCaul, Rick D. Johnson, all of whom are and/or were persons
employed within the teaching faculty and/or administration at North Dakota State
University, being named herein as having acted in both their individual and official
capacities, and North Dakota State University, a publicly supported institution of
higher learning under the control of the North Dakota State Board of Higher
Education, Defendants and Appellees Civil No. 950276
Appeal from the District Court for Cass County, East Central Judicial District, the
Honorable Norman J. Backes, Judge.
AFFIRMED.
Opinion of the Court by Meschke, Justice.
48
David C. Thompson (argued), of David C. Thompson, P.C., P.O. Box 5235, Grand Forks,
ND 58206-5235, for plaintiff and appellant.
Douglas A. Bahr (argued), Assistant Attorney General, Attorney General's Office, 900 East
Boulevard Ave., Bismarck, ND 58505 -0041, and Sara Beth Gullickson (no appearance),
Assistant Attorney General, P.O. Box 1077, Moorhead, MN 56561 -1077, for defendants
and appellees.
Thompson v. Peterson
Civil No. 950276
Meschke, Justice.
J. Malcolm Thompson appe aled from a judgment dismissing his lawsuit against North
Dakota State University (NDSU), and Larry Peterson, David Danbom, Yur -Bok Lee,
Gerald Anderson, Thomas Isern, Harriette McCaul, and Rick Johnson in their official
capacities as members of the facult y and administration of NDSU and in their individual
capacities (collectively referred to as defendants). Thompson sought damages and
injunctive relief to remedy termination of his nontenured position as an assistant history
professor. We affirm.
I
In 1991 Thompson accepted a nontenured, probationary appointment with NDSU as an
assistant professor of history. Thompson's employment agreement with NDSU was
expressly governed by the State Board of Higher Education Regulations on Academic
Freedom, Tenure, and Due Process and by the NDSU University Senate Policy
Implementing Procedural Regulations. NDSU renewed Thompson's probationary
appointment for the 1992 -93 and 1993-94 academic years.
On April 22, 1994, Peterson, the chair of the history department, notif ied Thompson that
the tenured faculty in the history department had "concluded that [Thompson was] not
making satisfactory progress toward successful promotion and tenure, especially in the area
of teaching," and had "voted to recommend to the Dean of the College of Humanities and
Social Sciences and Vice President for Academic Affairs that [his] probationary
49
appointment should not be renewed." On April 28, Thompson made a written request to
Peterson for a statement of "reasons that contributed to the decis ion for non-renewal of my
probationary, tenure -track appointment." On April 29, Peterson informed Thompson that
Section 351C.2 of the NDSU Policy Manual directed that nonrenewal decisions "'shall be
made in every instance by the University President,'" and that a nonrenewal decision had
not yet been made in his case.
Meanwhile, Isern, the Dean of the College of Humanities and Social Sciences, and Sharon
Wallace, Vice President for Academic Affairs, accepted the history department's
recommendation for nonre newal and forwarded it to NDSU President Jim Ozbun. On May
13, 1994, Ozbun notified Thompson that his faculty appointment at NDSU would not be
renewed beyond the 1994 -95 academic year and invited Thompson to "consult NDSU
Policies 350 and 351 for your furt her procedural rights." Thompson did not pursue any
further internal administrative remedies, and he received a "terminal contract" for the 1994 -
95 academic year.
Thompson sued the defendants in Grand Forks County in the Northeast Central Judicial
District, alleging, in substance, a breach of his employment contract; an infringement of his
state constitutional rights to substantive and procedural due process, freedom of speech, and
protection of his reputation; and a violation of the "secret personnel file" provisions of
N.D.C.C. Ch. 15 -38.2. The district court in Grand Forks County, the Honorable Kirk
Smith, granted an ex parte temporary restraining order that prohibited NDSU from
terminating Thompson and from hiring a replacement.
The defendants demanded a change of venue to Cass County in the East Central Judicial
District. The defendants also moved to vacate the temporary restraining order and to
dismiss Thompson's complaint. Judge Smith granted the defendants' motion to change
venue to Cass County, but declined to rule on the remaining motions.
The action was then venued in Cass County, and eventually assigned to the Honorable
Norman J. Backes. Judge Backes dismissed Thompson's complaint, concluding that the
decision not to renew Thompson's teaching con tract was made by NDSU President Ozbun
50
on May 13, 1994, and that Thompson did not make a written request to Ozbun for the
reasons for the nonrenewal decision as required by Section 605(c) of the State Board
Regulations. Judge Backes ruled that Thompson's A pril 28, 1994 request to Peterson was
misdirected and premature, and because Thompson had failed to exhaust his administrative
remedies, the court lacked jurisdiction to hear his lawsuit. Thompson appealed.
II
Thompson contends Judge Smith should have re mained the presiding judge in this lawsuit,
and Judge Backes's dismissal was without jurisdiction and was null and void. Thompson
asserts a change of venue and the designation of a presiding judge are two different
subjects. He argues that, although the de fendants had a threshold statutory right to have this
lawsuit tried in Cass County, they waived their right to file a demand for change of judge
by requesting a change of venue from Grand Forks County to Cass County. Thompson's
argument mistakes the effect of a change of venue from one judicial district to another.
Jurisdiction is the power and authority of a court to hear and decide a case, Rudnick v. City
of Jamestown , 463 N.W.2d 632 (N.D. 1990), while venue means the place where the power
to decide a case is to be exercised. Selland v. Selland , 494 N.W.2d 367 (N.D. 1992). Under
N.D. Const., Art. VI, 8 and NDCC 27 -05-06, district courts in North Dakota have authority
to hear and determine civil actions. See Rudnick (district court had jurisdiction to hear
claim that employee's demotion violated due process). The district court in Cass County
had authority to hear this lawsuit, and the question here is the effect of the change of venue
on the assignment of the judge.
Subject to other specific exceptions in NDCC Ch. 28 -04, venue for a civil action is
generally "in the county in which the defendant or one of the defendants resides at the time
of the commencement of the action." NDCC 28 -04-05; Varriano v. Bang , 541 N.W.2d 707
(N.D. 1996). An action may be trie d in an improper venue "unless the defendant, before the
time for answering expires, demands in writing that the trial be had in the proper county."
NDCC 28-04-06; Varriano. If the county designated for trial in a complaint is an improper
venue, the court may change the place of trial. NDCC 28 -04-07(1). Under NDCC 27 -05-26,
51
a change of venue may be taken from "one judge to another in the same district or in
another district, or from one county to another, or from one district to another in the manner
provided by law." When venue is changed, NDCC 28 -04-08 directs that all further
proceedings must be had in the county where the place of trial is changed to. With
exceptions not relevant here, NDCC 27 -05-22 declares that no judge of a district court may
hear any action in a judicial district where the judge was not elected.
When a change of venue has been granted, our civil venue statutes do not explicitly allow
the judge granting the change to follow the case from one judicial district to another
judicial distr ict. Compare NDRCrimP 21(c) ("Whenever the place of trial is change as
provided in this Rule . . . the judge ordering the transfer shall preside at the trial.") When
our venue statutes are construed together to give meaning to each provision, the effect of a
change of venue transfers the case from "one judge to another . . . in another district," and
precludes a judge who grants a change of venue in one judicial district from following the
case to a judicial district where the judge was not elected.
To hold otherwise would permit a claimant to begin his lawsuit in a county in the wrong
judicial district, but retain the "wrong" judge when the defendant exercises the virtually
automatic transfer of venue to the proper county. See NDCC 28 -04-06 and 28-04-07. The
selection of the judge sought by Thompson, and the sweeping disqualification of the judges
in the proper judicial district would contravene the correct procedures for changing a judge
detailed in NDCC 29 -15-21, and would permit judge -shopping in its wor st sense.
Here, Judge Smith, a duly -elected judge in the Northeast Central Judicial District, granted a
change of venue to Cass County in the East Central Judicial District. Under NDCC 27 -05-
22 and 27-05-26, the change of venue precluded Judge Smith from presiding over the case
outside of the judicial district where he was elected after he transferred the case to a county
in another district. Judge Backes, a duly -elected judge in the East Central Judicial District,
had jurisdiction to decide this lawsuit.
III
52
Thompson asserts the trial court erred in dismissing his lawsuit for failure to exhaust his
internal administrative remedies at NDSU. He contends he substantially complied with
NDSU's procedures for exhausting his administrative remedies, and argues those remedies
were precluded under circumstances analogous to Hom v. State, 459 N.W.2d 823 (N.D.
1990). We disagree.
In describing our standard of review, the parties have relied upon cases involving
dismissals for failure to state a claim upon which rel ief can be granted under NDRCivP
12(b)(v). SeeWilliams v. State , 405 N.W.2d 615 (N.D. 1987); Johnson & Maxwell, Ltd. v.
Lind, 288 N.W.2d 763 (N.D. 1980). However, the defendants' motion to dismiss cited both
NDRCivP 12(b)(i) and (v), and the trial court ex plicitly declined to decide whether
Thompson's complaint failed to state a claim under NDRCivP 12(b)(v). Instead, the court
dismissed under NDRCivP 12(b)(i) for lack of jurisdiction.
Although not binding, federal court interpretations of a corresponding f ederal rule of civil
procedure are highly persuasive in construing our rule. E.g., Larson v. Unlimited Business
Exchange of North Dakota , 330 N.W.2d 518 (N.D. 1983). See NDRCivP 1, explanatory
note. In deciding jurisdiction under FRCivP 12(b)(1), a trial c ourt may consider matters
outside the pleadings without converting the proceedings to summary judgment. Osborn v.
United States , 918 F.2d 724 (8th Cir. 1990); Crawford v. United States , 796 F.2d 924 (7th
Cir. 1986); 2A Moore's Federal Practice 12.07 [2. -1] (1995); 5A Wright and Miller, Federal
Practice and Procedure 1350 (1990). Compare NDRCivP 12(b) ("[i]f . . . matters outside
the pleading are presented to and not excluded by the court, [a 12(b)(v)] motion must be
treated as one for summary judgment and d isposed of as provided in Rule 56"). If the
jurisdictional facts are not in dispute, appellate review of a jurisdictional decision is de
novo. Osborn; Crawford; 2A Moore's at 12.07 [2. -1]. We review this jurisdictional
challenge in that context.
Under FRCivP 12(b)(1), federal courts have generally held that dismissal for lack of subject
matter jurisdiction is appropriate if the plaintiff has failed to exhaust remedies before an
administrative agency. Komninos v. Upper Saddle River Bd. of Ed. , 13 F.3d 775 (3rd Cir.
53
1994); Bueford v. Resolution Trust Corp. , 991 F.2d 481 (8th Cir. 1993); DiLaura v. Power
Authority of State of New York , 982 F.2d 73 (2nd Cir. 1992). See 5A Wright and Miller, at
1350. Our decisions have also consistently required exhaustion of re medies before the
appropriate administrative agency as a prerequisite to making a claim in court. Lapp v.
Reeder Public School Dist. No. 3 , 544 N.W.2d 164 (N.D. 1996); Medical Arts Clinic v.
Franciscan Initiatives , 531 N.W.2d 289 (N.D. 1995); Tooley v. Alm, 515 N.W.2d 137
(N.D. 1994); Transportation Division v. Sandstrom , 337 N.W.2d 160 (N.D. 1983); Shark
Bros., Inc. v. Cass County , 256 N.W.2d 701 (N.D. 1977). Failure to exhaust administrative
remedies generally precludes making a claim in court.
We have also applied the doctrine of exhaustion of administrative remedies to employment
cases. In Soentgen v. Quain & Ramstad Clinic, P.C. , 467 N.W.2d 73 (N.D. 1991), a doctor
failed to exhaust her internal administrative remedies at a hospital, and, instead, sued the
hospital for wrongful discharge. We observed that the doctor's wrongful discharge claim
could have been resolved at a hearing under the hospital's internal administrative
procedures. Because the doctor had failed to exhaust her internal administrative remedies at
the hospital, we affirmed the dismissal of her wrongful discharge claim against the hospital.
IV
Here, Thompson's employment agreement with NDSU was specifically governed by the
NDSU University Senate Policy Implementing Procedural Regulatio ns and by the State
Board Regulations. Hom (regulations are part of teacher's employment contract). Section
605(c) of the State Board Regulations outlines specific internal procedures for nontenured,
probationary faculty to seek review of a university's no nrenewal decision.
Section 605(c)(2) directs that a nonrenewed faculty member "shall be informed of [the
nonrenewal] decision in writing by the individual or chair of the body making the
decision." Within seven days after receipt of the notice of nonrenewa l, the faculty member
may request written reasons for the decision to terminate, and the institution must supply
the reasons that contributed to the nonrenewal decision within seven days of receipt of the
request. The faculty member then has fifteen days t o request reconsideration of the
54
nonrenewal decision, and the institution must respond within fifteen days after receipt of
the request for reconsideration.
Section 605(c)(3) says that, within sixty days after receipt of notice of a nonrenewal
decision, the faculty member may request review by a Special Review Committee to
determine if the nonrenewal decision was the result of "inadequate consideration." Under
this subsection, "inadequate consideration" is confined to a procedural meaning, and it is
not given a substantive meaning. The Special Review Committee is expressly prohibited
from substituting its judgment on the merits of whether a faculty member should be
reappointed or given tenure.
Section 605(c)(4) declares that, if within sixty days after rec eipt of notice of a nonrenewal
decision, a faculty member alleges the nonrenewal decision violated academic freedoms,
constitutional rights, or contractual rights, a Special Review Committee shall consider the
allegation by informal methods. If the allegat ion is not resolved by the Special Review
Committee, the matter shall be heard by a Standing Committee on Faculty Rights, and the
faculty member must prove by clear and convincing evidence that the allegation was based
significantly on the alleged improper consideration. If the faculty member establishes a
prima facie case before the Standing Committee on Faculty Rights, those making the
nonrenewal decision must produce evidence to support the nonrenewal.
In Hom, we considered whether a university had subs tantially complied with Section
605(c)(2) in terminating a non -tenured, probationary professor. In Hom, the professor
requested written reasons for a nonrenewal decision within seven days after receipt of a
nonrenewal notice, and the university delayed fur nishing the professor with the termination
reasons for more than seven months. We explained that the purpose of the regulation's well -
delineated timetable for expedited review of the reasons for nonrenewal was to guarantee
prompt resolution of the matter. We concluded the university's violation of the seven -day
requirement for furnishing the professor with reasons for nonrenewal was more than a
technical violation. Compare Stensrud v. Mayville State College , 368 N.W.2d 519 (N.D.
1985) (timely notification b y different method than specified in regulation was substantial
55
compliance). In Hom we held that the seven -month delay was not substantial compliance
with the nonrenewal procedure.
Here, Peterson, the chair of the history department, notified Thompson tha t the tenured
faculty of the history department had "voted to recommend" that his probationary
appointment should not be renewed. Thompson asked Peterson for a statement of reasons
for his nonrenewal. Thompson contends that his request was properly directe d to the "chair
of the body making the decision" under Section 605(c)(2). He also argues that, at a
minimum, he substantially complied with Section 605(c)(2), because his request to
Peterson was part of the record before NDSU President Ozbun. We reject Tho mpson's
arguments.
The tenured faculty of the history department did not make the final decision for
nonrenewal of Thompson's nontenured employment; instead, the tenured faculty "voted to
recommend" nonrenewal. Section 351C.2 of the NDSU University Senate Policy
Implementing Procedural Regulations, incorporated in Thompson's employment agreement
with NDSU, directs that "[n]onrenewal decisions shall be made in every instance by the
University President, following recommendations by the dean or director, and the
promotion, tenure and evaluation committee of the college or equivalent unit." That
regulation, when read together with Section 605(c)(2) of the State Board Regulations,
unambiguously declares that, at NDSU, the university president makes all nonrenew al
decisions. The obvious purpose of those regulations is to apprise the decision maker, the
NDSU president, that reasons for the nonrenewal are necessary. A premature request
directed to someone other than the actual decision maker does not fulfill that p urpose, nor
does it serve to trigger the well -delineated timetable for expedited review of the decision
maker's reasons for nonrenewal. The regulations do not require a decision maker to search
the "record" for a premature request for reasons for nonrenewa l.
When Thompson asked Peterson for reasons for the nonrenewal, NDSU President Ozbun
had not made a nonrenewal decision. Peterson specifically informed Thompson that
nonrenewal decisions were made by the university president and that the president had not
56
yet made a decision in his case. NDSU President Ozbun notified Thompson on May 13,
1994, that his contract was not being renewed and specifically invited Thompson to consult
NDSU policies regarding his further procedural rights. However, Thompson did not pursue
any further administrative procedure at NDSU and, instead, sued the defendants. Unlike the
professor in Hom, Thompson failed to trigger the administrative review process by
requesting reasons for the nonrenewal from NDSU President Ozbun --the "individual . . .
making the [nonrenewal] decision." We hold, as a matter of law, that Thompson's
premature request for reasons for nonrenewal, directed to Peterson rather than to NDSU
President Ozbun, did not substantially comply with NDSU's administrative proce dures.
V
Thompson asserts that the doctrine of exhaustion of remedies does not apply to his
constitutional claims. He relies upon Froysland v. North Dakota Workers Compensation
Bureau, 432 N.W.2d 883 (N.D. 1988); Johnson v. Elkin , 263 N.W.2d 123 (N.D. 19 78); and
Family Center Drug Store, Inc. v. North Dakota State Board of Pharmacy , 181 N.W.2d 738
(N.D. 1970). Those precedents generally hold that the constitutionality of an act
administered by an agency may be raised for the first time on appeal to the di strict court.
Those decisions do not abolish the requirement for exhaustion of administrative remedies.
Section 605(c)(4) of the State Board Regulations specifically contemplates administrative
consideration of constitutional claims. There is no indicatio n Thompson could not have
developed his constitutional claims in the administrative process. We decline to speculate
on the resolution of those claims if Thompson had raised them in the designated
administrative forum. Cf. Southeast Human Service Center v. Eiseman , 525 N.W.2d 664
(N.D. 1994) (declining to speculate on result if employee had complied with employer's
reasonable request for employee to submit to doctor's examination).
Moreover, as a nontenured, probationary teacher, Thompson had no right to c ontinued
employment beyond the duration of his contract, and he possessed no constitutionally
protected property interest in continued employment. Stensrud. Compare Morris v.
Clifford, 903 F.2d 574 (8th Cir. 1990) (tenured faculty member can be dismissed o nly for
57
adequate cause and has constitutionally protected property interest in continued
employment). Thompson's failure to exhaust the administrative remedies in his contract
with NDSU precludes him from now raising those constitutional claims.
VI
We hold that the trial court properly dismissed Thompson's lawsuit for lack of jurisdiction.
We therefore affirm the judgment.
Herbert L. Meschke
Dale V. Sandstrom
William A. Neumann
Beryl J. Levine, S.J.
Gerald W. VandeWalle, C.J.
The Honorable Mary Muehlen Maring was not a member of the Court when this case was
heard and did not participate in this decision.
8.3 UNITED STATES COURT OF APPEALS - FOR THE THIRD CIRCU IT
___________________
NO. 94-3109
___________________
THOMAS H. TAYLOR,
Appellant
v.
THE PEOPLES NATURAL GAS COMPANY, a subsidiary of Consolidated Natural Gas
Company; SYSTEM PENSION PLAN OF CONSOLIDATED NATURAL GAS
COMPANY, Number 001; THE ANNUITIES AND BENEFITS COMMITTEE, the plan
administrator,
Appellees
58
______________________________________
On Appeal From the United States District Court
For the Western District of Pennsylvania
(D.C. Civ. No. 92 -cv-00394)
_______________________________________
Argued: September 19, l994
Before: BECKER, COWEN, Circuit Judges, and
POLLAK, District Judge.*
(Filed: March 9, l995)
THOMAS P. COLE, II, ESQUIRE (ARGUED)
15 East Otterman Street
Greensburg, PA 15601-2591
Attorney for Appe llant
P. JEROME RICHEY, ESQUIRE (ARGUED)
PHILIP J. WEIS, ESQUIRE
MARK T. PHILLIS, ESQUIRE
Buchanan Ingersoll
Professional Corporation
58th Floor, USX Tower
600 Grant Street
Pittsburgh, PA 15219
JOYCE C. DAILEY, ESQUIRE
Peoples Natural Gas Company
625 Liberty Avenue
Pittsburgh, PA 15222
59
Attorneys for Appellees
ROBERT E. WILLIAMS, ESQUIRE
DOUGLAS S. McDOWELL, ESQUIRE
McGuiness & Williams
1015 Fifteenth Street, N.W.
Washington, DC 20005
Attorneys for Amicus Curiae
Equal Employment Advisory Council
______________________________
OPINION OF THE COURT
_______________________________
BECKER, Circuit Judge.
This appeal arises out of an ERISA action brought by Thomas H. Taylor, a former
employee of Peoples Natural Gas Company ("PNG"), against the members of the Annuities
and Benefits Committee ("the defendants"), which is the plan administrator of PNG's
pension plan. The district court granted summary judgment for the defendants. The
gravamen of Taylor's claim is that statements regarding the retroactivity of the pension
plan's early retirement incentive program, made to him by PNG's Supervisor of Employee
Benefits, John Burgunder, who was not a member of the Annuities and Benefits
Committee, constituted a breach of the defendants' fiduciary obligation to communicate
complete and correct material information to plan participants regarding their status and
options under an employee benefit plan. The Equal Employment Advisory Council has
filed an amicus curiae brief in support of the defendants.
Because Burgunder's statements form the basis of Taylor's suit against the defendants
and Taylor has not sued Burgunder, w e first, as a matter of logic, address the important
question presented -- whether a plan administrator is liable for statements made by
60
individuals who have been selected as non -fiduciary agents by the plan administrator to
assist it in discharging its fi duciary obligation to administer a plan, even though such
individuals are formally employees of the plan sponsor, who is not a fiduciary. We answer
this question in the affirmative, and conclude that the defendants are responsible for any
material misstatements made by Burgunder to Taylor regarding possible changes in PNG's
pension plan since, in counseling Taylor, Burgunder was acting, at a minimum, within his
apparent authority as an agent of the defendants. We will, however, affirm the judgment
because the statements allegedly made by Burgunder do not, as a matter of law, constitute a
misrepresentation of a material fact.
I.
PNG sponsors a pension plan along with its parent corporation, Consolidated Natural
Gas Company ("CNG"). The name d fiduciary and plan administrator of the pension plan is
the Annuities and Benefits Committee, which is made up of employees of both CNG and
PNG. The members of this committee are the relevant defendants in this action.1
Burgunder was not a member of th e Annuities and Benefits Committee.
During 1988, PNG hired several outside consulting firms to conduct efficiency studies
to examine ways to decrease costs and increase the efficiency of the company's operations.
In connection with these studies, PN G considered several downsizing options, including the
offer of an early retirement incentive program through the company's pension plan. Taylor,
who was employed during this period as a general manager in PNG's Information System
department, participated in the efficiency studies and submitted a report to his boss, Scotty
Amos, in which he concluded that, if certain changes were implemented, Taylor's
department could operate with six fewer employees. In his report Taylor suggested an
early retirement in centive plan as a possible method to reduce his department's manpower.
During the latter portion of 1988, Taylor, who started work at PNG in 1959, began to
consider retirement, while he was aware that PNG was, consistent with his suggestion,
considering an early retirement incentive program as a downsizing option.
61
During the first two months of 1989, Taylor spoke to Burgunder about whether PNG
would adopt an early retirement incentive program and, if such a plan were enacted,
whether it would be made retroactive to encompass employees retiring before the
announcement of the program. While, as we have noted, Burgunder was not a member of
the Annuities and Benefits Committee, the defendants concede that he was authorized "to
advise employees of their r ights and options under the Pension Plan." Appellees Br. at 21.
Moreover, it was generally understood by PNG employees that Burgunder was the person
with whom plan participants should speak regarding possible changes to the pension plan.
Taylor represent s that during one particular discussion, Burgunder told him that he believed
that, should an early retirement program be offered, it might apply retroactively. More
specifically, Taylor stated:
During and prior to the March 1st date I had had discussions with Mr. Burgunder relative to
rumors and possible studies that may have been going on that could lead to an early
retirement program, and it was during one of those discussion points where I talked with
Mr. Burgunder about other people that were retiring, and he gave me the -- he told me at
that time that he believed that if there would be any early retirement programs offered in
1989, that they would make it retroactive to people retired from January 1st, until such time
as they might offer the program.
App. at 8b-9b. Taylor continued:
I can't recall exactly what his conversations were about the retroactivity other than he
believed that if an early retirement program was announced or it was offered -- that might
be a better word -- it might be retroactiv e to these people that we were talking about.
App. at 33b.
Following these conversations, on November 30, 1988, Taylor tendered a written
announcement of his intention to retire:
Please accept my request for permission to retire from active empl oyment effective March
1, 1989. . . . I would also like to change my retirement date should a special retirement
package be proposed or planned on or before 3 -1-89.
62
App. at 34a. Taylor in fact retired on March 1, 1989. On August 10, roughly five months
later, the Annuities and Benefits Committee announced that an early retirement program
had been adopted by PNG's Board of Directors and would be available for employees
retiring between September 1, 1989 and November 1, 1989. This program was not made
retroactive to employees -- such as Taylor -- retiring prior to September 1, 1989.
Following this announcement, Taylor brought suit against the plan administrator
contending that the statements made to him by Burgunder regarding the possible retroacti ve
application of the early retirement program constituted a misrepresentation by an ERISA
plan fiduciary. The parties consented to have this case adjudicated by a Magistrate Judge,
28 U.S.C.A. § 636(c) (1993), who concluded that the statements made by Bu rgunder to
Taylor did not constitute a misrepresentation, and hence the defendants had not breached
their fiduciary obligation. He therefore granted the defendants' motion for summary
judgment.
On this appeal of the Magistrate Judge's order, authorized by 28 U.S.C.A. § 636(c)(3)
(1993), the defendants ask us to affirm on the ground that Burgunder was not acting on
behalf of the plan administrator when speaking with Taylor about possible changes in the
pension plan or, alternatively, on the basis of the Magistrate Judge's reasoning that there
was no misrepresentation as a matter of law. In reviewing an order granting summary
judgment we exercise plenary review, applying the same standard that governed the district
court. That standard provides that summ ary judgment should be rendered if the evidence is
such that there is no genuine issue as to any material fact and that the moving party is
entitled to judgment as a matter of law. Anderson v. Liberty Lobby, Inc., 477 U.S. 242,
248, 106 S. Ct. 2505, 2510 (1986).
II.
A.
The members of the Annuities and Benefits Committee, the plan administrator of PNG's
pension plan, are fiduciaries, required to "discharge [their] duties with respect to [the] plan
solely in the interest of the parti cipants and beneficiaries."2 ERISA § 404(a)(1), 29
63
U.S.C.A. § 1104(a)(1) (1986). We addressed the scope of this fiduciary obligation under a
similar set of circumstances in Fischer v. Philadelphia Electric Co., 994 F.2d at 130. There,
employees of the Philadelphia Electric Company ("PECO") had approached PECO's
benefits counselors and questioned them about whether any early retirement incentive plan
was being considered. Although PECO was considering an early retirement incentive plan,
the benefits coun selors, acting pursuant to explicit instructions from PECO's senior
management, informed the plan participants that they had no knowledge of any such plan.
The plaintiffs, plan participants who retired before the announcement of the early
retirement incen tive pension plan, alleged that PECO had breached its fiduciary duties
under ERISA by making affirmative material misrepresentations regarding PECO's pension
plan. The action against PECO was grounded on its alleged violation of fiduciary
obligations in i ts capacity as plan administrator.3 The district court granted summary
judgment for PECO and the plaintiffs appealed.
The Fischer panel began its analysis by recognizing that well established case law
provides that plan administrators have a fiducia ry obligation not to affirmatively
misrepresent material facts to plan participants. Fischer, 994 F.2d at 135 (citing Eddy v.
Colonial Life Ins. Co., 919 F.2d 747, 751 (D.C. Cir. 1990) ("This duty to communicate
complete and correct material information a bout a beneficiary's status and options is not a
novel idea.")); see also Bixler v. Central Penn. Teamsters Health -Welfare Program, 12 F.3d
1292, 1300 (3d Cir. 1993) (recognizing that plan administrators have "an obligation to
convey complete and accurate information material to the beneficiary's circumstances").
The panel restated this obligation in the context of fiduciaries who counsel plan participants
regarding the possible adoption of amendments to a plan:
we hasten to add that ERISA does not impose a "duty of clairvoyance" on fiduciaries. An
ERISA fiduciary is under no obligation to offer precise predictions about future changes to
its plan. Rather, its obligation is to answer participants' questions forthrightly, a duty that
does not require the fiduciary to disclose its internal deliberations nor interfere with the
substantive aspects of the collective bargaining process. A plan administrator may not
64
make affirmative material misrepresentations to plan participants about changes to an
employee pension benefits plan. Put simply, when a plan administrator speaks, it must
speak truthfully.
Fischer, 994 F.2d at 135 (internal quotation marks and citations omitted).
Given this obligation, PECO contended that the statements made by the benefit s
counselors were not affirmative misrepresentations, since company officials had not told
them of the discussions taking place among senior management regarding the contemplated
adoption of an early retirement incentive program. The Fischer panel rejecte d this
argument and reversed the district court's grant of summary judgment, concluding that,
given the facts alleged, the plan administrator was responsible for statements made by the
benefits counselors, and that PECO, which was plan administrator as wel l as plan sponsor,
had therefore breached its fiduciary obligation to not affirmatively misrepresent material
information to plan participants:
PECO argues that these communications cannot be characterized as "affirmative
misrepresentations" because "when the benefits counselors . . . stated that they knew of no
[early retirement] plan, their representations were correct." . . . This explanation will not do,
for the fiduciary obligations owed to the plan participants were owed by PECo as plan
administrator. These obligations cannot be circumvented by building a "Chinese wall"
around those employees on whom plan participants reasonably rely for important
information and guidance about retirement.
Fischer, 994 F.2d at 135 (emphasis omitted).
B.
While acknowledging that they had a fiduciary obligation as plan administrator not to
materially misrepresent information regarding possible changes in PNG's pension plan, the
present defendants contend that they have not violated this obligation since Bur gunder was
not a member of the Annuities and Benefits Committee and was not otherwise a fiduciary.
The defendants attempt to distinguish this case from Fischer, where the misrepresentations
were allegedly made by benefits counselors who were the employees of the plan
65
administrator, PECO. In this action, the Annuities and Benefits Committee, and not PNG,
is the named fiduciary, and hence, the defendants assert, they cannot be liable for any
affirmative misrepresentations made to plan participants by Burgun der, PNG's employee,
about possible changes to PNG's pension plan. While we agree that Burgunder was not a
member of the Annuities and Benefit Committee, and otherwise not a fiduciary of the plan,
we cannot agree with the defendants that Burgunder was not acting on their behalf when
speaking with Taylor.
The defendants concede that Burgunder had actual authority, as Supervisor of
Employee Benefits, to advise employees of their rights and options under the plan, prepare
reports concerning participants ' benefits, and calculate the costs of alternative plan
amendments on behalf of the plan administrator. Appellees Br. at 21. Given that
Burgunder's activities are limited to these administrative ministerial functions, we agree
with the defendants that Bu rgunder is not a fiduciary. Department of Labor Regulation
§ 2509.75-8, 29 C.F.R. § 2509.75-8, Q & A D-2 provides that such individuals, whose
activities are limited "within a framework of policies, interpretations, rules, practices, and
procedures made b y other persons, fiduciaries with respect to the plan," cannot be
individually liable as fiduciaries under ERISA, since they fail to exercise "the discretionary
authority or discretionary control" over the plan required for the direct imposition of
fiduciary liability. See ERISA § 3(21)(A), 29 U.S.C.A. § 1002(21)(A) (West Supp.
1993).
While Burgunder is not himself a fiduciary with respect to the plan (and he is not a
defendant in this action), he did function, under the regulations, as a non -fiduciary agent of
the defendants, assisting them in discharging their authority and responsibility, as plan
administrator, to "control and manage the operation and administration of the plan."
ERISA § 402(a)(1), 29 U.S.C.A. § 1102(a)(1) (1986). While Burgunder is formally the
employee of plan sponsor PNG, he performed his activities for the plan on behalf of the
plan administrator defendants, and not on behalf of the plan sponsor. The conclusion that
Burgunder performed these tasks on behalf of the plan adm inistrator, the named fiduciary
66
with respect to the plan, is clear from the regulations. These provide that "[i]n discharging
fiduciary responsibilities, a fiduciary with respect to a plan may rely on . . . persons who
perform purely ministerial functions for such plan," such as "advising participants of their
rights and options under the plan." DOL Reg. § 2509.75-8, 29 C.F.R. § 2509.75-8, Q & A
D-2 & FR-11 (emphasis added); see also 2 Jeffrey D. Mamorsky, Employee Benefits Law:
ERISA and Beyond § 12.06[4] (1993) (recognizing that, pursuant to DOL Reg. § 2509.75-
8, a committee, acting as plan administrator, can "select[] agents to perform ministerial
functions").
The defendants concede, as we have noted, that Burgunder is governed by this
regulation, and that he had actual authority as the Supervisor of Employee Benefits to
"advise employees of their rights and options under the Pension Plan." Appellees Br. at
21. This authority originates from the defendants, the plan administrator, and not from the
plan sponsor, for the plan administrator is the entity with the fiduciary obligation to
"control and manage the operation and administration of the plan." ERISA § 402(a)(1), 29
U.S.C.A. § 1102(a)(1) (1986). In contrast, PNG, the plan sponsor, is not a fiduciary and
correspondingly has no duty to administer the plan. Thus, under the applicable regulations,
Burgunder was acting as a non -fiduciary agent of the defendants (the plan administrator)
and not PNG (the plan sponsor) in "advising participants o f their rights and options under
the plan." Department of Labor Regulation § 2509.75-8, 29 C.F.R. § 2509.75-8, Q & A D-
2.
This conclusion is consistent with our reasoning in Fischer, where we held that a plan
administrator violates its "fiduciary obligations owed to the plan participants" when "those
employees on whom plan participants reasonably rely for important information and
guidance about retirement" make material misstatements regarding possible changes to a
company's pension plan. Fischer , 994 F.2d at 135. The fact that the benefits counselors
who made the misrepresentation in Fischer were the employees of PECO does not
distinguish that case from ours. The employees in Fischer were acting as the agents of
PECO in its capacity as plan adm inistrator, not as employer/plan sponsor. See id. at 133
67
("As an employer, neither PECo nor its business decision to offer an early retirement
program were subject to ERISA's fiduciary duties." (internal quotation marks omitted)).
Like the benefits couns elors in Fischer, Burgunder was acting to assist the plan
administrator, not the plan sponsor, in discharging its fiduciary obligation to "control and
manage the operation and administration of the plan." ERISA § 402(a)(1), 29 U.S.C.A.
§ 1102(a)(1) (1986) .
C.
Having concluded that Burgunder was acting on behalf of the defendants, and not PNG,
in performing the functions outlined above, we must consider whether Burgunder was
acting within the scope of his authority as an agent of the defendant s in making
representations to Taylor regarding the possible retroactive application of plan amendments
under consideration by PNG, the plan sponsor. In making this determination, we are
governed by the law of agency, as developed and interpreted as a mat ter of federal common
law. See Firestone Tire and Rubber Co. v. Bruch, 489 U.S. 99, 110, 109 S. Ct. 948, 954
(1989) ("[C]ourts are to develop a federal common law of rights and obligations under
ERISA-regulated plans."); Franchise Tax Board v. Constructio n Laborers Vacation Trust,
463 U.S. 1, 25, 103 S. Ct. 2841, 2854, n.26 (1983) ("`[A] body of Federal substantive law
will be developed by the courts to deal with issues involving rights and obligations under
private welfare and pension plans.'" (quoting re marks of Sen. Javits at 129 Cong. Rec.
29942)); National Football Scouting, Inc. v. Continental Assurance Co., 931 F.2d 646, 648
(10th Cir. 1991) (examining whether "under the federal common law of agency" an agent
of a plan fiduciary was acting within his actual or apparent authority).
In this regard, we recognize that implicit in our holding in Fischer is the assumption that
in counseling the plan participants about possible amendments to the plan, the PECO
benefits counselors were acting within their authority as agents of the plan administrator.
In particular, we read our limitation of fiduciary liability to "those employees on whom
plan participants reasonably rely for important information and guidance about retirement"
as a legal conclusion that such individuals operate, at a minimum, within their apparent
68
authority to provide such information and guidance to plan participants, on behalf of the
plan administrator. The defendants here admit that Burgunder had actual authority to
"advise[] emp loyees of their rights and options under the Pension Plan." Appellees Br. at
21. Moreover, it is uncontested that plan participants reasonably relied on Burgunder for
important information and guidance about retirement. Considering these facts in light of
the entire record, we conclude that, like the benefits counselors in Fischer, Burgunder was
acting within his authority as an agent of the plan administrator, the members of the
Annuities and Benefits Committee, in counseling plan participants regarding possible
changes in the plan.
Our conclusion also accords with established principles of apparent authority. It is well
settled that apparent authority (1) "results from a manifestation by a person that another is
his agent" and (2) "exists only to the extent that it is reasonable for the third person dealing
with the agent to believe that the agent is authorized." Restatement (Second) of Agency § 8
cmts. a & c (1958). In our recent opinion in American Telephone & Telegraph v. Winback
& Conserve Program, ___ F.3d ___, 1994 U.S. App. LEXIS 34398, 1994 WL 685911 (3d
Cir. Dec. 9, 1994), applying the concept of apparent authority under the federal common
law of agency, we held that "[a]pparent authority arises in those situations where the
principal causes persons with whom the agent deals to reasonably believe that the agent has
authority. . . ." Id. at *64, 1994 WL 685911 at *18 (internal quotation marks omitted).
It is uncontroverted that both elements necessary for the existence of appare nt authority
are present in this case. First, the defendants' undisputed vesting of Burgunder with the
authority to "advise employees of their rights and options under the Pension Plan" clearly
constitutes a manifestation that he was their agent.
Second, the plan participants, such as Taylor, reasonably believed that Burgunder
specifically had the authority to counsel plan participants about possible amendments to the
plan. Taylor actually believed that Burgunder had the authority to counsel plan participants
about possible changes in the plan. App. at 41b ("I accepted his comments because he's the
key person in the retirement process at Peoples Natural Gas at the time I retired.").
69
Moreover, this belief was reasonable in that the evidence demons trates that plan
participants generally considered Burgunder the person to speak with regarding possible
changes in retirement benefits. In light of this reasonable belief about what information
Burgunder was able to provide, the defendants' authorization of Burgunder to be their
representative to plan participants, and the defendants' lack of effort to announce any limits
to the scope of Burgunder's authority, it was a short and reasonable step for plan
participants, such as Taylor, to believe that Burgun der not only was able, but indeed
possessed the specific authority, to counsel them about possible amendments to the plan.
We conclude, therefore, that Burgunder was acting, at a minimum, with apparent
authority as agent of the defendants in counseli ng Taylor regarding possible changes in the
company's pension plan. Given this authority, the defendants will be liable for any
affirmative material misrepresentations made by Burgunder concerning the possible
retroactive application of the plan's early r etirement incentive plan.
D.
We therefore are presented with the question whether Burgunder's alleged statement to
Taylor that "he believed that if an early retirement program was . . . offered . . . it might be
retroactive," app. at 33b (empha sis supplied), constituted a material misrepresentation. We
agree with the Magistrate Judge that, as a matter of law, no reasonable fact -finder could
conclude that Burgunder's statement constituted a misrepresentation.4
It is uncontested that at the time of Burgunder's statement to Taylor, the questions
whether PNG would enact an early retirement incentive plan, and whether it would apply
retroactively, were both yet undecided by PNG. Given that the plan sponsor, PNG, had yet
to make a final decisio n regarding the prospective amendment, we conclude that the
defendants did not violate their fiduciary obligation by merely confirming to Taylor that the
adoption of such an amendment was under consideration and by expressing a reasonable
opinion as to the scope of the possible amendment. The record clearly reflects that
Burgunder's prediction was by all accounts reasonable. Burgunder based his prediction on
two grounds: (1) an outside consultant had suggested a retroactive early retirement
70
program; and (2) a member of PNG's board of directors, Mr. Flinn, to whom Burgunder
had talked about the amendment's possible scope, had stated that he supported making the
program retroactive.
Burgunder's alleged statement is a far cry from the statements made by the benefits
counselors in Fischer that "there was definitely nothing in the planning," when in fact such
an amendment was under serious consideration by company officials. In contrast,
Burgunder's attempt to counsel Taylor by offering his prediction bas ed on his discussions
with a member of PNG's board of directors was not a misrepresentation.
Taylor conceded that Burgunder's statement was nothing more than his "best guess as to
what may occur should an early retirement package be adopted." App. at 13a. An honest
statement of belief reasonably grounded in fact does not constitute a misrepresentation. As
Justice Holmes recognized in another context, "[t]he rule of law is hardly to be regretted,
when it is considered how easily and insensibly word of hope or expectation are converted
by an interested memory into statements of quality or value when the expectation has been
disappointed." Deming v. Darling, 20 N.E. 107, 148 Mass. 504, 506 (1889).
III.
In sum, we conclude that although th e defendants are responsible for any material
misstatements made by Burgunder to Taylor regarding possible changes in PNG's pension
plan, the statements allegedly made by Burgunder do not, as a matter of law, constitute a
misrepresentation. We will, there fore, affirm the order of the Magistrate Judge granting the
defendants' request for summary judgment.
__________________________
Thomas H. Taylor v. The Peoples Natural Gas Company
No. 94-3109
Cowen, Circuit Judge, concurring.
I join in Parts I and IID of the majority opinion and therefore concur as to the judgment
in this case. I am unable to join in Parts IIA -C, however, because I believe that the
majority's opinion sweeps more broadly than is justified under the facts presented here.
71
At issue in this case is a statement made by John Burgunder, The Peoples National Gas
Company's Supervisor of Employee Benefits, to Thomas Taylor, a former employee of The
Peoples National Gas Company ("PNG"), concerning the retroactivity of a potential
amendment to PNG's pension plan. According to Taylor, Burgunder misrepresented to him
that if PNG offered an early retirement incentive plan, Taylor would get its benefits even if
Burgunder retired before the incentive plan was enacted. Specifically, Tayl or alleged that:
During and prior to the March 1st date, I had had discussions with Mr. Burgunder relative
to rumors and possible studies that may have been going on that could lead to an early
retirement program, and it was during one of those discussion points where I talked with
Mr. Burgunder about other people that were retiring, and he gave me the -- he told me at
that time that he believed that if there would be any early retirement programs offered in
1989, that they would make it retroactive to peop le retired from January 1st, until such time
as they might offer the program.
App. at 8b-9b (emphasis added). He continued:
I can't recall exactly what his conversations were about the retroactivity other than he
believed that if an early retirement pro gram was announced or it was offered -- that might
be a better word -- it might be retroactive to these people that we were talking about.
App. at 33b (emphasis added).
As the majority correctly recognizes, the magistrate judge who adjudicated this case
concluded that the statement made by Burgunder to Taylor that he believed the early
retirement program would be retroactive did not constitute misrepresentation. Taylor v.
Peoples Natural Gas Co., No. 92 -394, slip op. at 4 -5 (W.D. Pa. January 27, 199 4).
Agreeing with the magistrate judge, the majority holds in Part IID that as a matter of law,
no reasonable fact -finder could conclude that Burgunder's statement constituted a
misrepresentation. Maj. Op. at [typescript at 18]. Inexplicably, however , before
disposing of this case on the unassailable grounds aptly set out by the magistrate judge, the
majority chooses in Parts IIA -C to pose and answer its own questions about the relationship
between ERISA fiduciaries and their agents in cases, unlike t he case at hand, where a party
72
demonstrates a misrepresentation. The majority concludes that a plan administrator can be
held liable for a breach of a fiduciary duty for misrepresentations by the plan
administrator's non -fiduciary agents. Because the majority reaches out to decide an issue
that is not squarely before us, I am unable to join in Parts IIA -C of the majority opinion.
It is well settled law that in general "[c]ases are to be decided on the narrowest legal
grounds available, and relief is to be tailored carefully to the nature of the dispute before
the court." United States v. Rias, 524 F.2d 118, 120 n.2 (5th Cir. 1975) (quoting Korioth v.
Briscoe, 523 F.2d 1271, 1275 (5th Cir. 1975)); see also In re Chicago, Rock Island and
Pac. R.R, 772 F.2d 299, 303 (7th Cir. 1985) (it is an "elementary maxim of our legal
system" that a court should decide "only the case before it"), cert. denied, 475 U.S. 1047,
106 S. Ct. 1265; Shamloo v. Mississippi State Bd. of Trustees of Insts. of Higher Learning,
620 F.2d 516, 524 (5th Cir. 1980) (expressing concern that cases be decided on the
narrowest legal grounds available); Finley v. Hampton, 473 F.2d 180, 189 (D.C. Cir. 1972)
(explaining that courts do not decide hypothetical controversies). This propositi on is a
corollary to the rule that federal courts are not to render advisory opinions, but rather are to
decide specific issues for parties with real disputes. See, e.g., Korioth, 523 F.2d at 1274 -
75; see also United States v. Leon, 468 U.S. 897, 963, 104 S. Ct. 3430, 3447 (1984)
(Stevens, J., concurring) ("[W]hen the Court goes beyond what is necessary to decide the
case before it, it can only encourage the perception that it is pursuing its own notions of
wise social policy, rather than adhering to its j udicial role.").
The statements the majority makes concerning the possible liability of ERISA
fiduciaries due to misrepresentations of their non -fiduciary agents run afoul of this rule
because the majority's holding that there was no misrepresentatio n here is sufficient to put
this case to rest. Moreover, the majority's choice to explore agency law is particularly ill -
advised because (1) we have not had the benefit of the magistrate judge's thinking and
findings on these important matters, (2) these issues were neither argued nor briefed by
counsel, and (3) the majority breaks considerable new ground in the area of ERISA
fiduciary liability.
73
The majority's opinion states that the Annuities and Benefits Committee of the System
Pension Plan, the p lan administrator and co -defendant in this matter, can be held liable for
statements by Burgunder because Burgunder was acting within the scope of his apparent
authority as an agent of the plan administrator in making representations to Taylor. The
opinion of the magistrate judge disposing of this case, however, is completely devoid of
any references to the question of whether an ERISA fiduciary can be held liable for
statements of its non -fiduciary agents acting within the scope of their apparent authorit y.
Indeed, in his opinion, the magistrate judge reaches only two conclusions of law. First, he
concludes that there is no general duty on the part of an employer to inform its employees
of any action it is considering taking in the future. As he states, "[t]he fact that PNG was
considering an early retirement package for 1989 is not information which ERISA requires
an employer to disclose." Taylor, slip op. at 3 (emphasis added). Second, he concludes
that since "[p]laintiff concedes that he was not inf ormed that a decision had been made to
offer any early retirement program at all, and that this was simply Mr. Burgunder's best
guess as to what may occur should an early retirement program be adopted," there was "no
misrepresentation, and thus no breach o f fiduciary duty." Id. at 4-5. There is absolutely no
discussion of the position now advanced by the majority that the plan administrator could
be held liable for statements of the plan administrator's non -fiduciary agents.5
Even more importantly, the magistrate judge's factual recitation and the record before
us are insufficient to establish the precise nature of the relationship between the System
Pension plan administrator and Burgunder, a failing that makes it extremely difficult to
perform a careful analysis of the possible applicability of the apparent authority doctrine.
PNG asserts that Burgunder was merely an employee of PNG and was not a member of the
"separate and distinct plan administrator." Appellee's Brief at 21. The magistrate judge's
factual recitation does not even touch on the relationship between Burgunder and the plan
administrator. As the majority recognizes, "apparent authority arises in those situations
where the principal causes persons with whom the agent deals to reasona bly believe that the
agent has authority." Maj. Op. at [typescript at 16] (citing American Telephone &
74
Telegraph v. Winback & Conserve Program, No. 94 -5305, 1994 U.S. App. Lexis 34398, at
*64, 1994 WL 685911, at *18 (3d Cir. Dec. 9, 1994)). The majori ty, however, fails to
adduce a single fact which convincingly demonstrates that the plan administrator caused
employees of PNG to conclude that Burgunder was authorized to make representations to
employees concerning potential plan amendments.6 Accordingl y, I am troubled by the
majority's analysis and concerned with the logic of deciding a question without relevant
facts.
Equally disturbing in this case is the majority's willingness to advance arguments that
were not put forward by the appellant in t he first instance and that were not briefed by the
parties. We have repeatedly recognized the impropriety of reaching issues that are not
properly briefed before us. United States v. Martinez -Hidalgo, 993 F.2d 1052, 1057 n.10
(3d Cir. 1993), cert. denied , U.S. , 114 S. Ct. 699 (1994); Francesconi v. Kardon
Chevrolet, Inc., 888 F.2d 18, 19 n.1 (3d Cir. 1989); H. Prang Trucking Co. v. Local
Union No. 469, 613 F.2d 1235, 1239 (3d Cir. 1980); see also United States v. Crawley, 837
F.2d 291, 293 (7th Cir . 1988) (expressing concern over decisions based on issues not
refined by the fires of adversary presentation). In his opening brief, Taylor simply argued
that a fiduciary may not materially mislead a plan participant. Appellant's Brief at 11.7
Moreover, in his reply brief, Taylor makes it clear that his argument is that PNG is a
fiduciary and it owed the fiduciary duty of conveying complete and accurate information to
him. Appellant's Reply Brief at 2. Taylor states, "PNG continues to assert its statu s as
employer only, to which the Appellant disagrees. [sic]." Id. at 1. Since the majority
apparently agrees that PNG is not a fiduciary, see Maj. Op. at n.1 [typescript at 4 n.1], it
is difficult to see how Taylor's arguments make it necessary to dis cuss the plan
administrator's possible liability due to statements by non -fiduciary agents. Taylor never
specifically pressed on appeal the claim that because the plan administrator is a fiduciary, it
should be liable for statements of its non -fiduciary agents. Accordingly, counsel for PNG
and the Annuities and Benefits Committee had no occasion to evaluate this issue in their
75
briefs.8 Without proper argument and discussion of this issue, it is ill -advised to reach such
claims.
Finally, the majorit y's decision to reach the issue of a plan administrator's liability for
non-fiduciary agents is ill -advised because the majority's conclusion is not firmly dictated
by our previous precedents. The majority states that the conclusion it reaches is consiste nt
with our reasoning in Fischer v. Philadelphia Electric Co., 994 F.2d 130 (3d Cir.), cert.
denied, U.S. , 114 S. Ct. 622 (1993). In Fischer, however, we merely held that "[a] plan
administrator may not make affirmative material misrepresentations to plan participants
about changes to an employee pension benefits plan." Fischer, 994 F.2d at 135. We did
not comment on the possible liability of a plan administrator for statements by its non -
fiduciary agents. While the majority's position may be a l ogical extension of Fischer, I
would have left our decision as to whether such an extension is justified to another day
when the issue is more squarely presented. Accordingly, relying simply on the fact that
Taylor failed to demonstrate misrepresentation in this case, I would affirm the decision of
the magistrate.
76
9 CONCLUSÕES
Os sistemas americano e inglês, em matéria de Direito Processual Civil, ainda que
sejam ambos da família anglo -saxônica, possuem características diversas. No sistema
americano, por exemplo, até mesmo porque estudo mais à fundo, a liberdade no que diz
respeito ao pedido é de certa forma grande.
Não significa dizer que seja liberal a ponto de ser mudado a qualquer momento, mas
na fase anterior à do julgamento, ou seja, do pre-trial, poderá haver adaptação do pedido
dependendo da resposta do réu.
Esta forma, contudo, não se encontra presente em todos os estados americanos.
Ressalte-se, todavia, a diferença do sistema empregado pelo Estado da Louisiana, adepto da
civil law.
No que se refere ao princípio da adstrição, quando se está diante de julgamento por
juiz – e não pelo júri -, se pode concluir que o mesmo se encontra presente nas regras
federais.
A fim de concluir este trabalho, é importante destacar a pesquisa em termos d e
direito comparado, já que determinadas formas existentes em países com princípios
diversos do nosso podem ser muito bem explorados pelos legisladores.
Não tornar o pedido tão rígido, a ponto de inviabilizar um julgamento de mérito é
um ponto que se dei xa para o pensamento dos profissionais do Direito.
77
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FONTES DE PESQUISA
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Revistas da American Bar Association
